COMPLIANCE ASSISTANT-Asset Management

Job Title: COMPLIANCE ASSISTANT-Asset Management

Reference: AJB JB AM 56

Location: LONDON

Assignment Profile:
Our client is a highly regarded International Asset Manager with several £Billions under management based in the city of London

They are seeking to employ a compliance assistant to join the compliance team

The Department The Compliance team is responsible for fostering and developing a compliant business culture, monitoring, assessing and reporting on the effectiveness of agreed key controls, providing advice on the development of various procedures, management of external relationships with regulators, clients, administrators and trustees, and educating and training employees on regulatory issues. The Compliance Department in the UK currently comprises of many members and has three distinct areas of supervision: Institutional Compliance; Retail Compliance and Regulatory Developments, which report directly to the Global Head of Compliance.

Overview of the Role



The Compliance Assistant will be part of the Institutional Compliance team.

Working closely with other members of the team the main purpose of the role is to provide compliance assurance and regulatory advice.

Other duties will include the following;

• Undertake statutory notifications on a daily basis


• Daily, monthly and periodic monitoring


• Guideline monitoring of Charles River alerts and warnings


• Maintenance of the Embargoed Securities List


• Undertake periodic reviews of adherence to compliance regulations and internal procedures for various areas of the business


• Represent compliance interests in Henderson projects and working groups


• Provide advice and guidance to the business on relevant regulatory issues


• Provide cover and assistance for other team members as necessary


• Deal with ad hoc queries


• To demonstrate awareness of TCF in relation to compliance related matters

Candidate Profile:

Technical Skills & Qualifications Required The IMC or IAQ qualification is desirable although not essential Previous experience of working in an asset management function Knowledge of Charles River or a similar guideline monitoring tool Good knowledge of statutory notifications Good working knowledge of FSA and/or SEC rules Previous experience of using Bloomberg Experience of derivatives monitoring Knowledge of private equity and property functions

Competencies Required Graduate Minimum 12 months compliance experience, Asset Management preferred Attention to detail Excellent communication skills, both written and spoken Ability to build relationships both internally and externally, and interact effectively as all levels Excellent knowledge of Microsoft office Good planning, organisational and prioritisation skills are essential Flexible, can-do attitude Ability to work effectively under pressure and meet tight deadlines Team player – able to work effectively with all members of the Compliance function

Consultant: Jonathan Banjo

Consultant Email: jbanjo@ajbexecutivesearch.co.uk

Salary: Circa £35-40,000 Plus Benefits

If you feel you are a suitable candidate for this position please contact Jonathan Banjo.

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