Exclusive - Compliance Associate

We are exclusively recruiting for specialist Investment Management firm who are looking to hire a Compliance Associate to support the Compliance Director and Chief Compliance Officer, whilst developing a working knowledge of the operational and regulatory environment under which the Company operates. This role will be based in the office 5 days a week.

Main Responsibilities

• Responsible for social media/LinkedIn reviews
• Support/manage review of Financial Promotion and other marketing presentations/materials
• Manage ongoing investor/key supplier due-diligence requirements via AI Software
• Manage monthly and ad hoc investor sanctions checks (via sanctions software)
• Support/manage periodic FCA filings:
  • FCA Regdata (quarterly/annually); and
  • FCA Connect (ad hoc)
• Assisting with SM&CR requirements, including management of AR firm regime obligations
• Assisting in preparation of training material relevant to key regulatory updates

Job Requirements:

• At least 4 years compliance experience, ideally within a similar fund/investment management firm
• A solid understanding of the UK regulatory regime
• Some knowledge of US SEC obligations would be beneficial but not mandatory
• The ideal candidate should be a committed, proactive and motivated individual, with excellent organisational and communication skills.
• The ability to prioritise and manage deadlines is essential, as is the need for strong IT skills

Unless otherwise stated, candidates must have the right to work in the UK.

The CLARC Guarantee - we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.