The Client
A highly regarded boutique Investment Management Company
The Role
THIS ROLE IS A 9 MONTH FTC
The Compliance Monitoring Associate will undertake a variety of Compliance tasks, including Compliance administration and monitoring tasks including preparing and implementing a Compliance Monitoring Plan, maintaining the Compliance Manual, Compliance policies and procedures and the Compliance registers (Financial Promotions, UCIS promotion). This role will also be responsible for producing various committee reports for MI presentation.
The Compliance Monitoring Associate will assist in preparing and implementing a Compliance Monitoring Plan for the Investment Management firm, including the completion of the FCA and SEC Compliance Monitoring Plan (CMP), covering thematic and surveillance testing
The Compliance Monitoring Associate will maintain the Compliance Manual, Compliance policies and procedures and compliance registers, including the registers for Financial Promotions. The role will also maintain the Compliance Task Workflow and will review non-complex marketing documentation.
The Compliance Associate will assist in preparing compliance reports for various committees ensuring appropriate MI is presented and will assist the Compliance Officer in AML testing and in the production of the Annual MLRO Report.
The Compliance Monitoring Associate will review requests relating to Private Clients and assess whether the client can be accepted with the Investment Management business.
It is vitally important that the incumbent of this role will keep abreast of regulatory developments and review how it impacts the business and support complaint investigation.
The Candidate
Minimum of 2 years Compliance experience within Financial Services – ideally investment management / wealth management
A professional Compliance qualification – advantageous
Good working knowledge of the UK regulatory framework (COBS, SYSC)
Excellent attention to detail with strong analytical skills