Compliance Associate

Lawson Chase
London, South East England
17 Jul 2017
16 Aug 2017
Contract Type
Full Time

Compliance Associate sought to join the London office of a leading US asset and investment management firm. Supporting the Senior Compliance Manager and the Compliance team in the implementation of the compliance programme for the firm's European business.

Salary: £45,000 - £50,000 base + 15% bonus target and Partnership of up to £5.6k

Key Responsibilities

  • Reviewing and approving Financial Promotions, including the provision of compliance advice thereon to the sales and marketing teams. 2. Maintaining the key compliance registers (breaches, complaints, PA dealing/Inducements (Code of Ethics), Approved Persons, conflicts etc) and providing a monthly analysis of activity to the Senior Compliance Manager for his consideration.

  • Coordinating the completion of the quarterly business review checklists and PA dealing disclosures.

  • Regulatory filings with the FSA/CBI/FINMA/ACP - e.g. approved person/complaints returns 5. Conducting new staff compliance inductions, including code of ethics.

  • Assisting the Compliance Associates with monitoring reviews where appropriate.

  • Participates in special projects and performs other duties as assigned.

Qualifications, Skills and Experience

  • Undergraduate degree (either Law of Languages).

  • Languages (French and/or German).

  • Excellent verbal and written communication skills.

  • An organised approach including strong persuasive and negotiation skills.

  • Attention detail.

  • Ability to prioritise.

Additional Information

The position is considered an 'Access Person’ position under the firm's Code of Ethics.