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.
- 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
- 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