Rev & Regsare recruiting for aCompliance Associaterole on behalf of an Investment Management firm, based in London.
The successful candidate will require a technical understanding of equities, and fixed income markets, the trading of these instruments and the regulatory environment in which Asset Managers operate.
Responsibilities:
- Financial Crime - The candidate will be responsible for ensuring that the AML/CTF process of the firm are effective and robust. KYC, AML, CDD, Sanctions and Financial Crime reporting.
- SMCR - SMCR Compliance framework maintenance.
- Compliance Training - assist in the development and delivery of Regulatory training to the business.
- Monitoring and Surveillance - Conduct ongoing surveillance and thematic reviews (Mar - Market Abuse).
- Regulatory reporting - submission of Compliance reports to the FCA.
- MI - Produce high quality, Management Information regarding the status of the Compliance Monitoring Programme, AML statistics and other Compliance data.
- Review current policies, procedures, monitoring and controls.
- Regulatory implementation projects - assist the business by working with Compliance team to assist with the implementation of Regulatory changes.
Experience Required:
- 3-5 years Asset Management /Wealth Management Compliance experience.
- Strong technical knowledge - including a detailed understanding of FCA rules, SYSC, COBS, MAR, as applicable to a manufacturer of equity and fixed income funds and discretionary asset manager.
- Experience in implementing processes, controls, governance, and/or compliance activities for regulatory changes, new/changing business models, services/products, and/or technologies
- Technical /Analytical Proficiency - third party systems, MS PowerPoint, Excel, Word
Location: London
Start: ASAP