Compliance Assistant
A new opportunity with a global asset manager
The successful candidate will work directly to support the CCO in delivering a robust compliance monitoring program and updating regulatory policies in line with best practice and regulatory requirements. There will also be opportunities to get involved in transformation projects and initiatives more broadly in the business.
Full training will be provided and Professional Development encouraged for those that wish to.
Responsibilities Include:
* Perform regular testing, thematic and targeted reviews in accordance with the compliance monitoring plan, with the support of third-party consultants
* Assisting in the drafting and updating of policies and procedures in line with changes to regulatory requirements and to capture new activities added to the portfolio
* Providing day-to-day assistance and support to the business, responding in a timely and accurate manner to Senior Management and queries from the business
* Partnering with the CCO to analyse new and existing business regulations to provide advice on their potential impact for the firm, and formulating clear business requirements in response
* Reviewing and approving all external sales and marketing materials and making recommendations for changes to ensure compliance
* Assisting with required regulatory reporting
* Developing improvements to the efficiency of the group's compliance control frameworks, processes, tools and systems
* Maintaining logs
* Assisting the CCO on ad-hoc projects
Qualifications
* A desire to build knowledge in UK/European fund regulation and compliance in an AIFM
* The ability to research information to solve problems and identify potential solutions
* Work ethic, intelligence and an eye for detail
* Good organisational skills
* Able to use Microsoft Office
* Good interpersonal communication, a friendly yet professional style in spoken and written communication