Compliance Associate - Investment Management - Permanent
- Employer
- Investigo Limited
- Location
- South East London, UK
- Salary
- Competitive
- Closing date
- Apr 18, 2019
View more
- Job Role
- Compliance Accountant
- Sector
- Finance
- Contract Type
- Permanent
- Hours
- Full Time
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Key
responsibilities:
Conduct reviews of the compliance monitoring programme to assess the effectiveness of business controls and policies Support the senior compliance person on regulatory change projects Preparation and submission of FCA applications to market and manage new funds Investigate logs relating to personal account dealing, FCA breaches, complaints, gifts and hospitality Assess KYC files and obtain necessary documentation to meet Money Laundering and JMLSG regulation Successful candidates will have: Previous compliance experience, ideally working within an investment management business Knowledge of AIFMD regulation A positive mindset and entrepreneurial spirit Excellent communication skills both written and verbal
responsibilities:
Conduct reviews of the compliance monitoring programme to assess the effectiveness of business controls and policies Support the senior compliance person on regulatory change projects Preparation and submission of FCA applications to market and manage new funds Investigate logs relating to personal account dealing, FCA breaches, complaints, gifts and hospitality Assess KYC files and obtain necessary documentation to meet Money Laundering and JMLSG regulation Successful candidates will have: Previous compliance experience, ideally working within an investment management business Knowledge of AIFMD regulation A positive mindset and entrepreneurial spirit Excellent communication skills both written and verbal
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