Job Description
An excellent generalist opportunity to work for a very successful and well- regarded real assets firm
This would suit an enthusiastic and dynamic candidate with solid investment management compliance experience
Responsibilities
* Responsibility for the completion of compliance monitoring tests
* Prepare and submit regular FCA reports
* Contribute to the update and drafting of compliance policies
* Review broker approval requests and have responsibility for the broker approval database
* Respond and complete AML and DDQ requests
* Assist in the preparation of delivering face to face training
* Responsibility for upkeep of compliance registers, such as conflicts and breaches & errors
* Major holdings monitoring and the preparation of disclosures
* Ensure insider dealing processes are followed and records are kept updated
* Ensure financial promotion and marketing materials are reviewed and records are kept updated
Experience and Key Skills Required
* At least 5 years investment management compliance experience - AIFM framework ESSENTIAL
* Good awareness of regulations applicable to the investment management sector such as MIFID II and AIFMD
* Experience in compliance monitoring, particularly best execution and market abuse
* Familiarity with FCA Reg-Data
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