Compliance Associate
Black Swan Group ·
Compliance Associate – Asset Management - London Company Overview: Our client is an institutional asset manager based in London. The firm is committed to maintaining the highest standards of compliance and regulatory adherence, ensuring that their operations comply with all relevant financial regulations and ethical practices.
They are currently seeking a Compliance Associate to join their Compliance team and contribute to the success and growth of the firm. Role Overview: As a Compliance Associate, you will play a crucial role in maintaining and enhancing the firm's compliance programme.
You will be responsible for monitoring and ensuring adherence to applicable regulations, policies, and procedures. The ideal candidate will have an understanding of financial regulations, be able to analyse complex compliance issues, and effectively communicate with stakeholders at all levels.
Key Responsibilities
- Regulatory compliance: Stay abreast of relevant financial regulations, including but not limited to AIFMD and other FCA guidelines.
- Thematic reviews and testing
- Develop and maintain compliance policies and procedures
- Regulatory filing
- PA dealing
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