Compliance Associate (Asset Management) Compliance Associate (Asset Management) …

Maldon Partners
in London, United Kingdom
Permanent, Full time
Last application, 21 Jan 21
£50,000 - £62,000
Maldon Partners
in London, United Kingdom
Permanent, Full time
Last application, 21 Jan 21
£50,000 - £62,000
Posted by:
Sarah Chhatlani • Recruiter
Posted by:
Sarah Chhatlani
Recruiter
Maldon Partners are Recruiting a Compliance Associate for an award winning Fixed Income Asset Management firm based in London. The role has been created due to expansion and requires a candidate with previous experience of the approval of Financial promotions and Market Materials.

Maldon Partners are recruiting a Compliance Associate on a permanent basis for a leading Boutique Asset Manager based in London. The award-winning European firm focuses on Fixed Income and has c£20bn AUM.

This is a newly created role reporting directly to the Chief Compliance Officer.

 

The Role:

Reporting to the CCO the role holder will be responsible for a wide range of tasks including but not limited to the below.

  • Perform monthly compliance monitoring to assess the adequacy of the Firm’s compliance with applicable regulations
  • Review all external client communications, including all financial promotions and cross border distribution material, and ensure compliance with applicable regulatory requirements and the Firm’s own communications policies
  • Periodically assist with the review and update of the Firm’s policies and procedures
  • Assist with the development and distribution of training programmes and ensuring that adequate training records are kept
  • Assist with project work as required

 

Experience Required:

In order to apply for the Compliance Associate role you MUST have:

  • A minimum of 2-3years previous generalist compliance experience gained within an Asset / Investment Management firm.
  • Knowledge of UK and International marketing regulatory environment within the asset management industry, including cross border rules and requirements
  • Institutional financial promotion experience
  • Good Microsoft skills (word, excel, PowerPoint)
  • Graduate (undergraduate degree or equivalent)

 

Salary:

The Compliance Associate role has a base salary of c£50,000 - £65,000 depending on experience and is based in the City of London.

 

*Please note that only candidates who meet the above criteria will be contacted.

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