Compliance Associate

Job DescriptionA leading investment management firm is looking to hire a Compliance Associate on an interim basis. This will be for an initial 3 month contract which is likely to be extended and has a chance of being made permanent.The client is looking for a Compliance Associate with exposure within the asset management industry. In this role, you will play a leading role in the running the day to day compliance matters of the firm. You will be tasked identifying and assessing current and future changes in regulation and the formulation of policies & guidance to ensure that firms reputation is properly protected, and any competitive opportunities are fully explored.Experience Must have experience in a compliance role within an Asset Management or directly similar environment.A good knowledge of the FCA’s regulatory rules as they apply to asset managers.Understanding of the asset management industry, and specific investment asset classes and productsRole overview Assist in managing the compliance relationships with front office team members, portfolio managers, research analysts and finance.Proactively review the implications and impact of upcoming regulatory changes.Provide clear technical advice and guidance to colleagues about the FCA's rules.Assist in the day-to-day compliance oversight and monitoring of activities of the firm including market soundings, management of the restricted list, advising on guideline restrictions, conflicts of interest, financial promotion approvals, client classification and research.Develop, update and maintain the firms compliance policies and procedures.If this role is of interest to you, apply for additional information.