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Maldon Partners are recruiting a Compliance Associate on a permanent basis for a Market Leading Asset Management Firm based in the City. The role has been created due to growth and will work alongside the Head of Compliance to ensure that the firm operates in line with rules and regulations.
The purpose of the Compliance Associate role is to work alongside the CCO and one other Compliance Associate to ensure that all the tasks set out in the Compliance Monitoring Program (CMP) are carried out and to provide compliance advice to the wider business.
Day-to-day responsibilities may include:
Completing tasks set out in the Compliance Monitoring Plan (CMP)
Conducting risk-based compliance monitoring
Asses and implement new regulations
Periodically review and update the firms policies and procedures
Assist in providing regulatory advice to the wider business
Create and deliver compliance training programmes to the wider business
Financial Promotions review
Review and approval of cross border marketing material (UK, EU and US)
Ad hoc projects
In order to apply for the Compliance Associate role you will have:
1 years'+ experience in a generalist compliance role gained within an Asset or Investment Management Firm. Essential
Compliance monitoring experience (NOT AML/KYC)
Educated to degree level as a minimum
Good Microsoft skills especially Excel
Attention to detail
Wants a challenge and can multi-task
The compliance Associate role has a Salary of c£37,000 - £45,000 depending on experience and is based in the city of London.