Global Asset Management firm who offers clients a single point of access to world-class investment companies covering equities, fixed income, real estate, multi-asset, and alternatives.
Compliance Associate reports directly into the Head of Compliance, ensuring that the company complies with relevant FCA and European regulatory requirements, in addition to compliance with relevant Group Compliance policies and procedures.
Day to day responsibilities:
- Take responsibility for the risk based compliance monitoring plan, including:
- Undertaking monitoring which includes best execution, allocation testing, day trading, market abuse testing, and trade alerts
- Preparing and issuing reports of the testing and results then circulating and escalating as necessary, to relevant boards and committees
- Assisting in the design and implementation of future reviews and identifying areas where further testing may be necessary.
- Review promotional material prepared and approve for distribution throughout Europe.
- Assist in the client take-on process for segregated mandate clients, and ensure that client files are established and properly maintained. Ensure that AML and KYC procedures are adhered to.
- Knowledge and understanding of FCA compliance requirements - notably the FCA Handbook, together with a good knowledge of the products and structure of the financial services marketplace.
- UCITS funds experience, in an Irish environment.
- Experience of working on a compliance monitoring plan.
If you feel you have the relevant experience for this unique opportunity then please apply to this advert or send a copy of your CV to Lauren Stutz, Interim Compliance Recruitment Consultant or call 0203 189 4315.
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.