Compliance Associate/Assistant Vice President

KennedyPearce Consulting
14 May 2017
13 Jun 2017
Contract Type
Full Time

Our client, a City based global asset management company (one of the largest in Asia), is looking to recruit a Compliance Associate/Assistant Vice President to work directly with the Compliance Director to ensure compliance with all relevant regulatory requirements including MiFiDII. This is a team of 2 so will be a broad, hands on role with plenty of room for growth.

Primary Responsibilities:

  • To prepare investment management agreements and other contracts together with the Legal department;
  • Member of Risk & Compliance committee with a special focus on compliance issues and Investment Risk committee focusing on any compliance breaches;
  • To monitor all compliance matters including the daily reports on guideline breaches produced by Dimension;
  • To monitor the counterparty list and ensure broker and counterparty documentation is up to date;
  • To review all external marketing literature.
  • To update the Company compliance manual and Pillar 3 disclosures.

Overall Statement of Responsibility:

All employees of the Company at whatever level of seniority have responsibility on a day to day basis for ensuring that there are clear and appropriate reporting lines between them and others for whom they are responsible and that any delegation of duties is to suitable persons, subject to appropriate supervision and monitoring.

Regulatory Responsibilities:

The job holder must comply with the policies and procedures set out in the Company's Compliance Manual.

In Respect of Training:

The Company has appropriate training and competence procedures and training programmes in place across those business areas for which you are responsible to ensure that the Company's employees:·

  • are and remain competent for the work they do;
  • are appropriately supervised and their competence regularly reviewed; and
  • the level of competence is appropriate to the Company's business.

You are responsible, in accordance with the Company's training and competence policy for achieving and maintaining a sufficient level of competence for the role you undertake and for your own professional development in your relevant area of expertise.

Policies and Procedures:

You will comply with the Company's policies and procedures, in particular, those set out in the Company's Staff Handbook, Compliance Manual and Acceptable Use Policy.


  • Extensive experience of fund management business in the UK and Europe.
  • Extensive experience within the compliance area of a fund management company.
  • Familiar with different product types in the general market place.

Technical Knowledge/Skills:

  • Knowledge of relevant regulations and compliance principles.
  • Knowledge of the compliance monitoring parts of the Dimension system
  • Knowledge of client agreements and guidelines
  • Knowledge of the investment management business.


Undergraduate degree or equivalent experience.

Key behaviours/competencies:

Operational Effectiveness and Innovation
Achieving Quality Results:

  • Delivering Tasks - Silver
  • Problem Solving - Silver
  • Flexibility & Drive to Improve - Silver
  • Risk Awareness - Silver

Enhance product Scope

  • Strategic Business Management - Silver
  • Business Awareness - Silver


  • Leadership - Silver
  • Management - Silver
  • Communication - Silver
  • Ethics and Conduct Level 1 - Silver
  • Ethics and Conduct Level 2 - Silver

Client Centricity - Silver

Effective Collaboration

  • Team Working in Your team - Silver
  • Team Working With Other Teams - Silver