Compliance Associate - Asset Management - London

Job Title: Compliance Associate - Asset Management - London
Contract Type: Permanent
Location: London, England
Salary: £50000 - £65000 per annum
Reference: BBBH16489_1506073532
Contact Name: Emily Marmoy-Haynes
Contact Email:
Job Published: September 22, 2017 10:45

Job Description


This role sits within a one of the world's largest privately owned asset management companies, growing faster than the rest of its competitors combined. There is significant investment and growth, making it an extremely exciting time to join this asset management company. The culture is excellent with great work life balance, benefits and a collaborative team environment.


Specifically your responsibilities will include:

  1. Supporting the Senior Compliance Manager and team whilst they implement the compliance programme throughout Europe.
  2. Responsible for the design and implementation of required policies and procedures.
  3. Maintaining key compliance registers - most importantly PA Dealing/Inducements, Code of Ethics, Approved Persons and Conflicts.
  4. Regulatory filings with the FCA, CBA, FINMA, ACP, in addition to oversight of returns submitted by other teams within the company, familiarity with Gabriel highly desirable.
  5. Co-ordinating the completion of the quarterly business review checklists and PA dealing disclosures.
  6. Participates in special projects and performs other duties as assigned - including conducting internal enquiries and investigations as necessary.


To be considered for this job, you will have the following experience:

  • Strong Compliance background from experience gained from a similar FCA regulated Asset Management / Investment Management Company is essential
  • Good working knowledge of the UK regulatory environment and how the FCA requirements apply to asset management firms
  • Experienced knowledge of FCA rules and regulation
  • Excellent verbal and written communication skills
  • Extremely personable and approachable
  • Undergraduate Degree is beneficial
  • Ability to prioritise and attention to detail
  • Ability to maintain calm and positive in challenging and pressured situations

If you feel you, or anyone you know, have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Emily Marmoy-Haynes at Twenty Recruitment.

Twenty Recruitment's Compliance function are a team of specialist consultants covering Financial Crime Compliance and Regulatory Compliance mandates, both permanent and temporary, across Financial Services, Technology and Energy.