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Compliance Associate

MW recruitment
Closing date
8 Dec 2021

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Contract Type
Full Time
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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


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
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