Compliance Assistant - Consultancy

  • Location:

    London, England

  • Sector:


  • Job type:


  • Salary:

    £45000 - £50000 per annum

  • Contact:

    Lauren Ashwood

  • Job ref:


  • Published:

    3 months ago

  • Expiry date:


  • Start date:


An Asset Management Investment Consultancy are seeking a Compliance Assistant to join their growing team in London.

This is a newly created position due to company growth. The candidate in this role will be undertaking a very broad role within Compliance, assisting in the onboarding, monitoring and oversight of Appointed Representatives.

Key duties:

  • Drafting advice to Appointed Representatives on a wide variety of topics under the supervision of the head of department
  • Conducting the onboarding/due diligence of Appointed Representatives by collating, reviewing and checking the required information
  • Researching, understanding and interpreting new regulations, advising the clients on their impact
  • Conducting periodic compliance monitoring on your portfolio of Appointed Representatives, identifying regulatory issues and risks while carrying out monitoring reviews
  • Providing compliance advice and guidance on new products

Key requirements:

  • Preferably a minimum of 2-3 years Compliance experience and from a Regulatory Consultancy background
  • Educated to degree level. Good degree from highly regarded university (2:1)
  • Understanding how a wide range of investment firms operates
  • An appreciation of the key regulatory rules applicable to asset managers
  • Knowledge of Asset Management and Private Equity/Venture Capital products and services

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