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Compliance Associate - Investments

  • Location: London
  • Salary: £55,000 per year
  • Job Type:Permanent

Posted 17 days ago

  • Sector: Compliance
  • Contact: Emilia Thomas
  • Contact Email: ethomas@merje.com
  • Expiry Date: 06 November 2021
  • Job Ref: ET/18128

MERJE have partnered with a leading international outsourced investment office which provides independent investment management advice to a variety of clients.

 

With offices in London, Boston, New York, San Francisco, Paris, Singapore and Hong Kong, the Compliance Associate will join a small compliance team, be responsible for a very broad range of compliance matters across all areas of the firm and will contribute to the efficient running of the compliance function in the UK.

 

Key responsibilities:

 

·         Provide advice and guidance to the business on regulatory and compliance issues as required (eg MiFID II, AIFMD, Suitability, Financial Promotions, TCF, Market Abuse, Product Governance. SFDR, SMCR etc)

·         Provide review and sign-off of marketing materials and provide advisory support on compliance matters relating to the firm’s distribution activities in Europe.

·         Assist with the conduct of risk assessments, gap analysis, monitoring and testing as part of the overall Compliance Monitoring Plan (CMP).

·         Ensure the submission of regulatory returns to the FCA in a timely manner and respond to standard requests in a timely manner.

·         Maintain the core compliance regulatory registers

·         Draft and update internal policies and procedures in line with regulatory developments.

·         Support the firm’s compliance with Anti-Money Laundering (AML) requirements.

·         Supervision of some US Compliance activities where appropriate, such as monitoring of personal trading (no need to be a US regulatory expert), as well as supporting and liaising with Paris, Hong Kong and Singapore offices,

·         Support the development and implementation of the firm’s compliance training program. Inform, advise and educate business units and senior management on all relevant compliance and AML matters.