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PE Compliance Associate - fixed term contract

Eximius Finance
Closing date
27 Dec 2021

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Contract Type
Full Time
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o maintaining and updating the Restricted List; circulating the List to the investment teams at regular intervals for review
o monitoring PA transactions and granting trade requests in the system, chasing unmatched trade confirms; escalating breaches to the Head of Compliance
-monitoring and chaperoning expert network calls held by the investment team;
-assisting in identifying, investigating and resolving non-compliant activity within the business, maintaining the breach register, logging offences and escalating to the Head of Compliance;
-providing compliance induction training for all new joiners (except US); monitoring completed new joiner forms ;
-arranging annual compliance training, assisting in preparing presentation slides, hand-outs, and maintaining register of attendees;

Required experince:

Compliance experince (ideally from PE)

Knowledge of financial services regulations
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