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Senior Compliance Generalist

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

Job Description

Key Responsibilities

  • Contribute to drafting, implementing and maintaining compliancepolicies and procedures
  • Support the execution of the compliance monitoring plan in accordance with applicable regulatory developments (MIFID II, AIFMD)
  • Carry out trade surveillance best execution, and allocation monitoring across asset classes
  • Trade surveillance, best execution, and allocation monitoring in all asset classes
  • Conduct PA dealing and gifts and entertainment monitoring
  • Provide support across counterparty onboarding and KYC/AML checks.
  • Review financial promotions
Key Requirements
  • Experience within compliance as a generalist or with a broad range of skills
  • Previously worked within a buy-side firm (private markets, equities, asset management, investment management or hedge fund)
Please contact Nicole Poole at Danos Consulting to learn more about this opportunity.

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