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Compliance Generalist Asset Management

Closing date
11 Dec 2021

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Contract Type
Full Time
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Investigo are supporting a boutique asset manager with recruiting an interim Compliance Generalist, the role will be for around 2-3 months, and the client is also open to temporary to permanent candidates.

The firm focuses on private debt and equity investments, they specialise on real estate and media sectors and have a deep industry expertise in these areas. As a result of this experience of AIFMD is key for this role.

You will be joining a small compliance team, directly reporting into the Head of Compliance.

They are currently working 2 days per week in the office and 3 days per week from home on a flexible basis.

The day rate is £400 per day inside IR35 via umbrella.

Duties include:
  • Maintain all logs including financial promotion, breaches & errors etc.
  • 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 GABRIEL for the group's regulated entities, including Annex IV reporting
  • 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
  • Support the daily and ongoing Compliance activities

You must have a good understanding of AIFMD and MiFID to apply for this role.

We look forward to seeing your application.
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