Accessibility Links

Compliance advisory Associate

  • Job type: Permanent
  • Location: London
  • Salary: Competitive
  • Job reference: Junior Compliance
  • Sector: Banking and Finance, Compliance, Selby Jennings
  • Date posted: 23/11/2017
Well known asset manager is looking for a compliance advisory associate to hekp support the expanding Compliance department.  

Key responsibilities
  • Develop the technical knowledge of investment management in order to ensure the company compliaes with all FCA regulation.
  • Provide support to line management
  • Help liase with the FCA (and other regulators),
  • Review client documentation
  • Identify, monitor and assess compliance breaches, complaints and incidents
  • Complete FCA returns via the FCA on-line Gabriel system; 
  • Filling Market Abuse monitoring reports.
  • Submission of Approved Persons, firm’s data and Variation of Permission requests via Connect;
  • Provide clear, accurate and timely guidance to the business where queries arise;
  • Become the subject matter expert in compliance tasks as periodically advised by the Group Compliance Director
  • Provide coaching and guidance to team members and the business as required, e.g. financial crime.
This is an exciting opportunity for someone looking to develop their skills in a dynamic and growing team.

If you are interested send your CV to
Similar jobs
Director Corporate Finance Advisory, Real Estate - London (VP/Manager)
  • Job type: Permanent
  • Location: London
  • Salary: Competitive
  • Description My client, a leading corporate advisor is looking to add an experienced individual to join their successful Real Estate team to help with the origination,...
M&A - Director - FIG- Investment Bank - Switzerland
  • Job type: Permanent
  • Location: Switzerland
  • Salary: Competitive
  • Description M&A - Director - FIG- Investment Bank - Switzerland:   Investment Bank seeks a Director with FIG sector specialism to join a rapidly growing business
Compliance Role
  • Job type: Permanent
  • Location: London
  • Salary: £100000 - £120000 per annum
  • Description Looking for a Senior Compliance Manager for a role in central London with a firm who have provided investment services for over 25 years. This...
Equity sales / Analyst-Associate
  • Job type: Permanent
  • Location: London
  • Salary: Competitive
  • Description Equity sales / Analyst-Associate A well-established firm in London is looking for a junior equities salesperson to cover the London market. The role offers the opportunity...
Renewables Investment Banking Analyst/Associate
  • Job type: Permanent
  • Location: Los Angeles
  • Salary: $90000 - $150000 per annum
  • Description My client, a reputable boutique Investment bank in Los Angeles with a strong leadership team, is looking to make the hire of an Investment Banking...