Senior Compliance Associate - Asset Manager
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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.
Please do not apply if you do not meet the above requirements.