Compliance Advisory Associate, Asset Management

Hays Financial Markets
London, United Kingdom
£70k - £75k
23 Nov 2022
25 Nov 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Asset management boutique seeks a Compliance Advisory Associate, ideal for candidates experienced in either portfolio compliance or trade surveillance wishing to broaden into wider advisory. Reporting into the Head of Compliance in a small risk & compliance team of five staff, this generalist role encompasses provision of ad-hoc compliance advice, monitoring of fund regulations and restrictions on investments, working closely with fund managers and dealers in supporting the best execution framework, ensuring controls are in place to mitigate the risk of financial crime, market abuse surveillance and review of financial promotions. Candidates are sought with at least four years' experience gained primarily in asset management with working knowledge of investment restrictions or market abuse surveillance. This is an excellent opportunity to join a boutique structure with the financial security of a large parent.

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