Senior Associate - Compliance Advisory - Investment Management

Job Title: Senior Associate - Compliance Advisory - Investment Management
Contract Type: Permanent
Location: London
Salary: £55k - 80k per year
Reference: 22767
Contact Name: Maria Marcello
Contact Email:
Job Published: December 03, 2019 10:57

Job Description

A renowned Investment Management firm based in Central London are currently seeking a Senior Associate to join their Compliance Advisory team as part of their growth.


  • Provide compliance review for approving Marketing Communications and Financial Promotions
  • Particular focus on Dealing, CASS and Regulatory Change
  • Support the Assistant Director in reviewing relevant policies owned by the Compliance Advisory team
  • Support the interactions with Regulators to ensure these are managed effectively
  • Deliver compliance induction training and promote the Compliance Awareness culture and engage with stakeholders at all levels across the business
  • Actively participate in Committees (Order Execution Policy Committee, CASS Monthly Committee and Transaction Reporting Committee)
  • Support the general BAU tasks


  • Experiecne within  Investment Management is essential
  • Knowledge of relevant regulations such as CASS, Best Execution and Transaction Reporting
  • Relevant experience is a similar role
  • Having a self-starter and team player mindset is key

If this one sounds like the right opportunity for you please send your CV to