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We are recruiting for a leading Institutional Investment Management firm looking for a Senior Compliance Associate to join their team. This role will develop into a Deputy Head of Compliance position for the right individual.
Alongside a stable career background (ideally 3-4 years in last role), candidates must have excellent qualifications including a minimum 2.1 degree, alongside relevant Compliance experience within a similar business.
Responsible for co-ordinating and supervising the operation of the rolling risk based monitoring programme.
Supporting the Head of Compliance in the maintenance of a good working relationship with the FCA and assisting in the management of any onsite inspection visits.
Provide advice to the business with regards to relevant regulatory advice in the UK & US.
Responsibility for ensuring the risk framework reflects key company risks and take input from business quarterly and run updated reports for business.
Advising the business on regulatory matters on a daily basis.
Assist with Guideline Monitoring duties as and when required.
Carry out compliance projects as and when required.
At least 5 years Compliance experience working within an Institutional Investment Management business.
Strong knowledge of UK & US regulations, FCA & SEC.
Excellent qualifications, education & professional, with a minimum a 2.1 degree ideally from a top university.
Excellent analytical skills, good IT skills an additional bonus.
Excellent communication skills, both written & verbally.
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