Our client, a highly successful outsourced investment office, is looking for a Senior Associate to join their Compliance team on a fixed-term contract. The successful candidate will be responsible for a broad range of compliance matters across all areas of the firm and will contribute to the efficient running of the compliance function in the UK. They will report directly to the General Counsel and Head of Compliance (based in London). Role & Responsibilities:
*Provide advice and guidance to the business on regulatory and compliance issues as required (such as for instance MiFID II, AIFMD, Suitability, Financial Promotions, TCF, Market Abuse, Product Governance etc.)
*Analyse and interpret regulatory developments.
*Conducting risk assessments, gap analysis, monitoring and testing as part of the overall Compliance Monitoring Plan (CMP), maintaining and developing the CMP processes, tracking action items to resolution, follow-up implementation of recommendations, writing reports including recommendations and providing appropriate management information on progress.
*Development and maintenance of management information.
*Ensure the submission of regulatory returns to the FCA in a timely manner and respond to standard requests.
*Maintain the core compliance regulatory registers.
*Draft and update internal policies and procedures in line with regulatory developments.
*Support the firm’s compliance with Anti-Money Laundering (AML) requirements.
*Support the development and implementation of the firm’s global compliance agenda in US, UK, Singapore and Hong Kong (no need for expertise in local laws).
*Support the development and implementation of the firm’s compliance training program. Inform, advise and educate business units and senior management on all relevant compliance and AML matters.
*Any other ad-hoc projects as required.
*Be responsible for ensuring all information security processes, policies and procedures are adhered to and any issues or concerns are raised with the Cyber Security team.
*Ensure full compliance with all local data protection regulations and privacy controls, and any related issues are raised via the appropriate channels.
Skills Required
*Approximately 3 years’, or equivalent, experience of operating in a broad compliance role within the Wealth Management or Asset Management space and has a good understanding of the regulatory environment. *Candidates will also have a good working knowledge of financial services regulation, in particular good knowledge of FCA and European rules as well as the communication and organisational skills necessary for the role.
*Ability to work with a degree of independence and escalating issues when and if necessary.
*Ability to interact with multiple levels in an organisation in an international environment
*Ability to prioritize, multi-task, and manage expectations and time in a fast-paced environment with shifting demands.
*Good organisational, research and project management skills.
*Strong financial and business awareness.
*Legal background would be advantageous.

Please note that due to the high volume of applicants responding to our adverts we are not able to feedback on all applications; only successful candidates will be contacted.