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Compliance Assistant Asset Management

Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

Maldon Partners are recruiting a Compliance Assistant on a permanent basis for a market leading Fixed income Asset Management firm based in the city.The firm has a global reach with offices in London and NY and has a current AUM £18bnHybrid working is on offerThe Role:Reporting directly into the CCO the Compliance Assistant will be responsible for providing day to day compliance support to the wider business. The role will be generalist in nature and will have a broad remit.This is a great opportunity for a driven candidate who wants to learn and take on more responsibility.Responsibilities will include but not be limited to:

  • Perform monthly compliance monitoring to assess the adequacy of the Firms compliance with applicable regulations (Best Ex)
  • Assist with the review of client communications, including financial promotions and cross border distribution material, and ensure compliance with applicable regulatory requirements and the Firms own communications policies
  • PA Dealing and G&E approval
  • Periodically assist with the review and update of the Firms policies and procedures
  • Assist with project work as required
Experienced Required:
  • Previous Compliance experience in generalist / monitoring focused role (NOT AML/KYC)
  • Educated to a minimum of Degree level
  • Excellent Command of Excel
  • Working knowledge of fund structures (UK, US and LUX)DESIRABLE
  • A team player, confident in building strong working relationships at all levels.
Salary:The Compliance Assistant role has a base salary of c£50,000 - £60,000 (some flex on this) depending on experience with an excellent benefits and bonus package as well as hybrid working.

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