Compliance Associate – Alternative Asset Manager – Permanent Role – 15/06/2020

MAIN DUTIES/RESPONSIBILITIES OF THE ROLE:

• Responsible for Compliance Policies & Procedures (P&P)/ core Compliance Monitoring Programme (CMP)
• Understand the existing P&P suite and assist with review and drafting of all necessary updates

• Primary owner of the existing monthly/quarterly CMP testing, helping to develop the wider programme so that it adequately tests compliance with P&P
• Develop periodic CMP metrics for reporting purposes
• Company House filings: assist in various company house filings on behalf of firm
• Assist in the response to regulatory inquiries and examinations
• Regulatory developments: keep abreast of regulatory developments that may impact the firm
• KYC/AML regulatory reporting

KEY SKILLS & EXPERIENCE:

• Educated to degree level or equivalent in a relevant subject such as legal or finance
• Background and understanding of the asset management industry would be beneficial
• Experience in an Asset Management or Legal role preferred
• Exposure working in a regulated environment
• A focused, proactive, goal-orientated team member
• Self-starter with strong analytical and problem-solving skills
• Clear and concise communicator

 

Contact

Name: Tevia Kretzmer

Email: tevia@rutherfordsearch.com

Number: 020 3778 0852

Posted: 15/06/2020

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