Compliance Officer – Asset Management
MERJE are partnering with a growing Asset Manager in their search for a Senior Compliance Associate.
Working in a small team of 3, but as part of a wider investment group, you will take on a broad range of responsibilities.
- Support the SMF 16/17 in all investment compliance oversight activities.
- Completion of the agreed compliance monitoring programme in a timely and effective manner
- Review of marketing materials
- Assisting with day-to-day ad-hoc queries received from the business.
- Ensure compliance policies are reviewed and updated on a regular basis.
- Provide compliance input into projects as required.
- Monitor PA dealing requests and Gifts and Entertainment submissions.
- Review and approve financial promotions.
- Assist the SMF16 in the preparation of management information for Committee and Board
You will have:
- 3-5 years of broad based compliance experience gained in an Asset or Fund Management environment
- Strong compliance Monitoring experience
- Good knowledge in MIFID, UCITS and AIFMD requirements, product governance, systems and controls, conflicts of interest, consumer duty.
- Excellent attention to detail and strong reporting writing skills
- Good interpersonal skills / ability to engage across all levels
Please do not apply if you do not meet the above requirements
Applicants must be located and eligible to work in the UK without sponsorship.
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Job Overview
Category
Compliance | Governance
Offered Salary
£60k - 65k per year
Job Location
London, Greater London, England
