Compliance Analyst - growing Asset Manager

☞ Avenell Search Ltd

View: 117

Update day: 07-05-2024

Location: Marlborough South West

Category: Legal / Contracts

Industry: Legal Services Financial Services Investment Management

Position: Associate

Job type: Full-time

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Job content

My client is a successful asset manager going through an exciting period of growth. They are looking for a proactive junior Compliance candidate to assume a generalist role in the growing team. This is a fantastic opportunity to learn and develop in a fast paced environment with a great collaborative team and excellent firm culture. The successful candidate will be organised, detail-oriented and dependable. They may come from a sell side or buy side background but will ideally have a good familiarity with regulation gained from c 2 years in a compliance role. Responsibilities will include: Assisting in establishing and maintaining a risk-based compliance framework, with effective monitoring and remedial action where required Preparing initial transaction KYC / AML review Aid in preparing and filing regulatory reports such as the FCA GABRIEL filings and the SEC Form ADV Helping arrange and deliver general compliance training and other necessary training Maintaining internal record keeping system, including restricted list, trade errors log, financial promotions log etc. Assisting in evaluating and updating existing compliance policies and procedures and related documentation Supporting the Compliance team in preparing for investor due diligence Researching industry compliance regulations relevant for business activities Skills and Preferred Qualifications Preferably with a compliance qualification Experience of working for 1-3 years within compliance in the financial services industry Knowledge of financial products and structures, preferably fixed income Knowledge of existing and new regulatory requirements and frameworks Strong attention to detail, analytical and independent thinker and problem-solver Proactive and organized, with an ability to work concurrently on multiple work streams Ability to effectively communicate
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Deadline: 21-06-2024

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