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Compliance Associate, Investment Advisory

JJ Search
Closing date
28 Jan 2022

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Contract Type
Full Time
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The Company:
An established global financial advisory firm with a highly credible reputation within its industry.
The Role:
This is a fantastic opportunity for a Compliance Associate to sit within the Investment Advisory and Monitoring division of Compliance within a highly successful company working particularly closely with the Global Payments division.
The Compliance Associate will monitor key regulatory developments and will offer advice and guidance to other business units within the financial advisory firm.
The Compliance Associate will help in implementing new regulations and other investment projects and will monitor and study changes in laws and regulations and identify any changes that could affect the financial advisory business
The Compliance Associate will be responsible for reviewing and approving signing off on financial promotions, gifts, and client entertainment and will assist in the implementation of suitable compliance controls to new business initiatives and new investment products
The Compliance Associate will help with regulatory reporting matters and perform "deep dive" ad hoc monitoring tasks¸will carry out tasks that sit within the team's Compliance Monitoring
The Compliance Associate will speak with regulators, exchanges, and other areas of the investment business and resolve any ad hoc queries, and will also attend to the compliance team's shared mailbox and deal with the administration of compliance policies and procedures
The Compliance Associate will conduct Compliance Inductions and training to employees of the Investment advisory firm.
The Candidate:
At least 3 years' experience within financial services compliance is essential
Good working knowledge of regulations, in particular PSD2 and Safeguarding requirements is essential
Good knowledge of other applicable regulations e.g., MiFID II, CASS
University degree in business, law, finance, economics, politics, or other similar discipline is desirable
Previous experience within a Payment Services Firm is desirable
Product knowledge of Global Payments, exchange traded and OTC commodities, OTC FX, Securities and/or Precious Metals is a bonus
Previous experience with exchanges - ICE, LME, Eurex, Euronext, EEX
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