Compliance Senior Associate AM

Our client  is a leading international outsourced investment office which provides independent investment management advice to distinguished institutions, including endowments, foundations, healthcare plans and pension plans, as well as sophisticated family offices and super high net worth individuals.

Position Responsibilities

The successful applicant will work with the Global Head of Compliance and the UK Compliance team (all based in the UK). A significant part of the role will be to undertake the permanent control activity in line with the Compliance Monitoring Plan.

Missions

• Provide advice and guidance to the business on regulatory and compliance issues
• Provide review and sign-off marketing materials and provide advisory support on compliance matters relating to the firm’s distribution activities in Europe.
• Conduct the role of “contrôle permanent” and be the point of contact to the AMF.
• Conduct risk assessments, gap analysis, monitoring and testing as part of the overall Compliance Monitoring Plan (CMP).
• Maintain the core compliance regulatory registers.
• Draft and update internal policies and procedures in line with regulatory developments.
• Support the firm’s compliance with Anti-Money Laundering (AML) requirements.
• Support the development and implementation of the firm’s global compliance agenda in US, UK, Singapore and Hong Kong (no need for expertise in local laws)
• Support the development and implementation of the firm’s compliance training program globally.

Candidate Profile

• 5 years’ experience of operating in a broad compliance role within the Wealth Management or Asset Management
• Candidates will also have a good working knowledge of financial services regulation, in particular good knowledge of AMF and European rules.
• Strong financial and business awareness
• Legal background would be advantageous.

Flexible working arrangements available.

 

Contact: ms@barclaysimpson.com