CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Maldon Partners are recruiting a Compliance Associate on a permanent basis for an award winning Asset Management Firm based in the city. The firm has almost doubled its AUM over the past 18 Months and the role has been created due to this expansion
The purpose of the role is to work alongside the Head of Compliance in order to help take on responsibility for Compliance of the day to day activities of the firm.
Day-to-day responsibilities may include:
Perform monthly compliance monitoring to assess the adequacy of the Firm's compliance with applicable regulations
Review all external client communications, including all financial promotions and cross border distribution material, and ensure compliance with applicable regulatory requirements and the Firm's own communications policies
Periodically assist with the review and update of the Firm's policies and procedures
Assist with the development and distribution of training programmes and ensuring that adequate training records are kept
Assist with project work as required
In order to apply for the role you will have:
A minimum of 1.5years Generalist Compliance experience including monitoring and testing
Graduate (undergraduate degree or equivalent) - Desired
Knowledge of UK and International marketing regulatory environment within the asset management industry
Institutional financial promotion experience
Good attention to detail
Good analytical skills
Good Excel, Word, PowerPoint skills
Strong interpersonal skills
Salary on offer is c£35,000-£40,000 as a base depending on experience and is based in the City of London