This job has expired

Compliance Associate

Employer
MW recruitment
Location
UK
Salary
Competitive
Closing date
8 Dec 2021

View more

Sector
Accountancy
Contract Type
Permanent
Hours
Full Time
You need to sign in or create an account to save a job.
A well established investment manager wish to recruit a compliance officer to take ownership of the compliance function, the team size is 3-4 people working closely with all areas of the business.

Main Duties

Maintain all logs including financial promotion, breaches & errors

Assist in the delivery of new starter inductions and staff training

Conduct Compliance Monitoring including periodic tests of the effectiveness of policies and controls

Regulatory returns in Connect and RegData for the group's regulated entities

Review KYC and DD documentation/daily screening of AML alerts

Review of financial promotion and marketing material

Prepare and submit relevant applications and reports to the FCA

Experience/Skills

No less than 3-5 years in a generalist compliance role.

A genuine interest in compliance and the investment industry

Knowledge of AIFMD and MiFID

Ability to handle a varied workload and work within prescribed timelines
You need to sign in or create an account to save a job.

Get job alerts

Create a job alert and receive personalised job recommendations straight to your inbox.

Create alert