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Senior Compliance Associate - Asset Management

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

Job Description

An Asset Management business based in London that are looking for a Senior Compliance Associate to join their expanding business & compliance team. An excellent opportunity for a candidate in the early stages of their compliance career looking for that nextstep up.Main Responsibilities:

  • Assist in the execution of the testing required as part of the Firms annual Compliance Monitoring Programme.
  • Assist the Compliance Monitoring Officer to carry out testing by gathering data, documents and other Management Information as required
  • Write up findings/recommendations, agree responses with the area under review and present the findings/recommendations as part of the Monitoring Report.
  • Monitor regulatory developments and maintain an up to date knowledge of current issues and future trends and their likely impact on the companys risk profile and activities.
  • Work independently while establishing solid relationships with the business.
  • Provide ad-hoc support to the wider team as required.
Job Requirements:
  • Minimum 2 years Compliance experience, ideally from within a similar Wealth or Asset Management business.
  • Strong FCA regulatory knowledge.
  • CASS experience, preferable.
  • Excellent communication skills, both written and oral.
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 cannotreply 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.

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