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Our client, a unique venture capital and growth investor, is currently looking to hire a Compliance & Legal Associate to join their high performing London team. The fund has an incredibly strong track record with significant funds under management. They closed a record-breaking fund last year, which they are currently deploying to increase their European based portfolio - making it an exciting time to join! As the Compliance & Legal Associate, you will immediately be afforded plenty of responsibility. On a daily basis, you will partner with the finance, operations and portfolio teams, whilst taking on a broad range of compliance and legal based responsibilities. Due to the high performing nature of the fund, there is plenty of growth opportunity available within the role and the realistic opportunity to build out the function in the near future. As this is a newly created role within the fund, you will play a significant part in moulding and developing the position. It is a fantastic opportunity for an ambitious compliance professional with previous experience in working within the financial services industry to really make an impact. RESPONSIBILITIES:
Monitoring all regulatory filings for the company and liaising with relevant administrators/counsel to ensure these are processed on a timely basis (annual registrations, annual returns, licence renewals, director's renewals, fee payments).
Maintaining a library of certified corporate documents (Certificate of Incorporation, Register of Directors, Register of Members, Memo & Articles, Certificate of Incumbency etc.)
Maintaining a book of board resolutions for each company ensuring all decisions are properly recorded.
Maintaining up to date KYC for shareholders/directors that the fund is subject to
Reviewing KYC documentation and liaising with external advisors where checks are required.
Monitoring relevant regulatory changes that take place in jurisdictions that may impact the businesses.
Undertake pre-investment anti-bribery, AML and due diligence checks.
Maintaining post-investment monitoring and a library of all investment documentation.
Assisting with regulatory filings and applications where appropriate.
Work closely with regulators including responding to regulatory questions, surveys, circulars.
Preparation of various documents to support business activities including portfolio summaries, transactions, payments and board resolutions.
Experience working within the financial services industry; fund administration or investment management.
Hands-on experience of core compliance processes such as conflicts of interest, information barriers, KYC and AML
Experience working across multiple jurisdictions would be advantageous.
A self-starter that is used to juggling multiple tasks at one time.
Understanding of responsibility involved in the position and willingness to take on more compliance & risk responsibility over time.