Compliance Associate

Coopman Search and Selection are delighted to be partnering with a top tier Asset Management firm, on an exclusive basis, as they look to add a Compliance Associate to their team on a 12 month FTC.
This will be a generalist role, reporting into the Head of Compliance in London.
Key Responsibilities of the Compliance Associate:

  • Providing Generalist Compliance support to the business, including reviewing and updating policies and procedures
  • Assisting with the implementation of the monitoring programme and conducting reviews on PADs, G&E, Market Abuse and Trade Surveillance
  • Assisting in the sign off of Financial Promotions
  • Assisting with the firm’s regulatory reporting and submitting these reports
  • Gathering of information for FCA or other regulatory audit requests
  • Responding to requests around AML/KYC requirements
  • Communicating and advising Traders and PMs with respect to general trading queries and approvals

Experience required of the Compliance Associate:

  • Experience of Generalist Compliance work in an Asset Management firm (2-5 years ideally)
  • Demonstrable understanding of MiFID and the UK Regulatory framework and guidelines
  • Knowledge of UCITS, FCA Conduct of Business Rules or SYSC desirable
  • Knowledge of Charles River, Bloomberg AIM or similar systems desirable
  • Good attention to detail and able to work to tight deadlines
  • Excellent communication skills, both written and verbal, as well as being a team player

With a competitive salary, and the reputation of the firm, this is a brilliant opportunity for any Compliance professional at the earlier stages of their career, who would be looking to expand on their existing knowledge and experience in a dynamic environment.
Coopman Search & Selection is a purpose-led financial services recruitment company that combines lateral thinking with sector expertise across Financial Services operating in Dublin, London and New York. Coopman’s expertise spans across front office, compliance, risk, accounting and finance – delivering solutions on a retained, contingent and interim basis.
As a Certified B Corporation™, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work™, we ensure our workplace is one that fosters professional growth and collaboration.

At a glance

  • Location: London
  • Job type: Fixed Term Contract
  • Job sector: Asset Management
  • Salary: £55000 PerAnnum
  • Published: February 5, 2024