Maldon Partners are recruiting a Compliance Associate on a permanent basis for a leading Boutique Asset Manager based in London. The award-winning European firm focuses on Fixed Income and has c£20bn AUM.
This is a newly created role reporting directly to the Chief Compliance Officer.
Reporting to the CCO the role holder will be responsible for a wide range of tasks including but not limited to the below.
Perform monthly compliance monitoring to assess the adequacy of the Firm's compliance with applicable regulations
Review all external client communications, including all financial promotions and cross border distribution material, and ensure compliance with applicable regulatory requirements and the Firm's own communications policies
Periodically assist with the review and update of the Firm's policies and procedures
Assist with the development and distribution of training programmes and ensuring that adequate training records are kept
Assist with project work as required
In order to apply for the Compliance Associate role you MUST have:
A minimum of 2-3years previous generalist compliance experience gained within an Asset / Investment Management firm.
Knowledge of UK and International marketing regulatory environment within the asset management industry, including cross border rules and requirements
Institutional financial promotion experience
Good Microsoft skills (word, excel, PowerPoint)
Graduate (undergraduate degree or equivalent)
The Compliance Associate role has a base salary of c£50,000 - £65,000 depending on experience and is based in the City of London.
*Please note that only candidates who meet the above criteria will be contacted.