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.
· 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.