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.
Our firm has offices in London and New York and has grown rapidly to AUM of over $2.2 billion. As a result we are now looking to expand our compliance function in London. This is an exceptional opportunity to join a successful, growing investment platform.
Work alongside the General Counsel/Head of Compliance to provide compliance support to the UK and US operations. Responsibilities will include:
Assist the Head of Compliance in maintaining and updating the firm's quarterly Compliance Monitoring Programme for both its UK and US operations, and liaise with the firm's external compliance consultants on compliance findings and implementation thereof.
Assist in updating the firm's compliance manuals, policies and reports in conjunction with the firm's external compliance consultants and ensure staff attest to compliance documentation updates on a timely basis.
Review and approve financial promotion/marketing material to ensure they meet regulatory requirements and maintain a register of eligible recipients of financial promotions/marketing documentation.
Assist with regulatory reporting for the firm e.g. FCA GABRIEL/Connect submissions and SEC Form ADV and Form PF filings and brochure updates.
Approval of staff personal account dealing requests and monitoring of quarterly transaction submissions and annual holding reports and ensure these are made on a timely basis.
Monitoring/approval of Gifts and Entertainment notifications/submissions.
Assist in monitoring and updating the firm's various compliance registers.
Assist in updating and the ongoing monitoring of the firm's restricted list of securities.
Preparation and periodic update of target market assessments for the firm's products.
Assist the Head of Compliance on risk monitoring and maintenance of risk register.
Maintain and update the firm's compliance calendar and ensure internal and external filing deadlines are met on a timely basis.
Keep abreast of regulatory rule changes and developments.
Provide other assistance as required by the Head of Compliance on an ongoing basis.
2+ years experience in a similar compliance role.
Excellent knowledge of UK and European financial regulations (FCA, MiFID II, AIFMD and UCITS).
Prior knowledge of rules and requirements applicable to an SEC registered investment adviser desirable but not essential.
Confident, able to use initiative and apply judgment with an ability to work in a team or independently.
Exceptional attention to detail.
Excellent oral and written communication skills.
Internal Number: 4541189
eFinancialCareers is a career site specializing in financial services.