Compliance Associate

Recruiter
Lawson Chase
Location
London, South East England
Salary
45000.0000
Posted
17 Jul 2017
Closes
16 Aug 2017
Contract Type
Permanent
Hours
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.