Investment Management Compliance Associate - City of London, United Kingdom - Taylor James Resourcing

Taylor James Resourcing

Verified Company

City of London, United Kingdom

4 weeks ago

Posted by:

Tom O´Connor

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Description

Our client is looking for a Compliance Assistant to step up into an Associate role to advise Clients on a wide range of regulatory compliance matters in Wealth management Clients.

Areas of Conduct and Control to clients involved in the distribution of investments - mainly wealth managers/stockbrokers, financial planners and Private Banks is highly preferred

Educated to degree level Ideally you will be

Diploma level compliancerelated qualification, or willing to study towards
Demonstrable compliancerelated experience gained at a financial institution, legal practice, consultancy and/or the regulator
Good understanding of FCA rules and regulations
Some knowledge and experience of advising funds, private equity, corporate finance, asset management and/or real estate firms
Excellent Microsoft Office skills
Ability to prioritise multiple projects and engagements while meeting tight deadlines
Confident networking and/or delivering presentations

Key responsibilities Include

Drafting and maintaining regulatory policies, procedures and compliance monitoring programmes
Developing training materials and assisting in delivering training sessions
Carrying out compliance health checks and periodic monitoring
Responding to adhoc and routine regulatory queries
Actively partner with global sector teams to support and deliver on shared projects and responsibilities, where required
At all times adhere to the firm's Quality Assurance Framework prior to submission to the client
Arrange and help prepare for client meetings
Foster a professional relationship with clients and contacts, ensuring regular and open communication
Assist the team with marketing and business development activities