Ethics Compliance Associate - Fund Management

18 May 2017
16 Jun 2017
Contract Type
Full Time

The Client-

A well established and highly successful Fund Manager, are seeking to recruit an Ethics Compliance Associate to work closely with the Compliance Manager in providing oversight for the firms’ Ethics team.

This Client does not provide sponsorship.

The role-

Working closely with the Compliance Manager, you will be expected to provide guidance to junior members of the team and will also be expected to face off to the entire business. Your duties including:

  • Assisting in the design, development and running of the Code of Ethics and Gifts & Hospitality system
  • Investigating and reporting any identified issues
  • Maintaining the Code of Ethics breaches register
  • Creating and maintaining policies and procedures
  • PA dealing monitoring
  • The production of MI and reporting to the business
  • Assisting/running ad-hoc projects

Key Requirements-

This role would ideally suit a candidate who understands the mechanics of the Fund Management space. In order to be considered for the position candidates must -

  • Have solid knowledge compliance experience gained in a similar role with an Asset Manager
  • Have excellent knowledge of FCA personal account dealing rules
  • Experience of working with PA Dealing system e.g. SunGard/Star Compliance
  • Be Degree educated
  • Be confident in dealing with senior stakeholders
  • Have excellent organisational, communication and presentation skills
  • Have the ability to work under pressure whilst managing multiple and conflicting deadlines