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.
- 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.