Associate Director – Compliance
This role will be responsible for monitoring the compliance functions of the business, including ensuring investment restrictions monitoring is analysed and reported on to the stakeholders and periodically reviewing and escalating potential conflicts.
The Associate Director of Compliance will be responsible for compiling compliance reporting for the Head of Compliance to review, and to prepare information for quarterly reviews.
The candidate will be overseeing compliance & code of ethics training, advising various other teams on compliance matters and be responsible for New Joiner Process.
What we are looking for
The successful candidate will be degree educated and have a good understanding of the UK regulatory requirements, and have proven experience in a compliance advisory role.