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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
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