Compliance Associate

THE COMPANY: Our client is a specialist Real Estate Investment firm. This is a generalist role but candidates must have exposure to Financial Promotions. THE RESPONSIBILITIES: Responsible for social media/LinkedIn reviews Support/manage review of Financial Promotion and other marketing presentations/materials Manage ongoing investor/key supplier due-diligence requirements via AI Software Manage monthly and ad hoc investor sanctions checks (via sanctions software) Support/manage periodic FCA filings: FCA Regdata (quarterly/annually); and FCA Connect (ad hoc) Assisting with SM&CR requirements, including management of AR firm regime obligations Assisting in preparation of training material relevant to key regulatory updates Supporting with insurance renewals at Corporate/Fund level Support on maintaining an effective compliance programme Assisting with the completion and collation of: Employee Certification Forms (annual); and Code of Ethics (Personal Account Dealing) (quarterly) Maintain Conflicts Register/Log and related documentation Collation of documents/information to support quarterly and annual UK/US regulatory filings Management of Compliance Calendar and follow through on actions required by team Support on annual review of firm’s compliance policies, as part of Annual Chief Compliance Officer Report Support in the completion of ad hoc Investor due diligence questionnaire (DDQ) and operational due diligence (ODD) requests Support on maintaining firms' governance committee Terms of Reference Assist with ad hoc projects and tasks, as required EXPERIENCE REQUIRED: This is an exciting role within a firm operating in a dynamic, fast paced environment. The ideal candidate should be a committed, proactive and motivated individual, with excellent organisational and communication skills. The ability to prioritise and manage deadlines is essential, as is the need for strong IT skills; MS Word and Excel, whilst working knowledge of MS PowerPoint and Visio (workflows) would be beneficial. The candidate should have strong experience (minimum 4 years) experience, ideally within a similar fund/investment management firm type, demonstrating a solid understanding of the UK regulatory regime, which provides a good foundation across all aspects of general compliance obligations. Some knowledge of US SEC obligations would be beneficial but not mandatory. For further information please contact Spencer Evans

Location: London, GB

Posted Date: 1/15/2025