Maldon Partners are recruiting a Generalist Compliance Analyst on a permanent basis for a global Wealth and Investment Management Firm.
The firm specialises in working with HNW and UHNW individuals and families, charities and institutions.
The company currently has c350 employees and a £25bn AUM with plans to massively grow this over the next few years having recently acquired another leading competitor.
Hybrid working 3-4 days in the office.
The Role:
The Generalist Compliance role is designed to develop mid-level compliance skills while contributing to the firm’s adherence to UK, US and EU regulatory requirements.
Responsibilities will include but not be limited to:
*Best Execution and Market Abuse monitoring
*Review marketing material
*Conduct routine monitoring
*PA dealing, COI and Gift and entertainment recording and sign off
*Interpret and apply compliance regulations
*Support the completion of due diligence questionnaires
*Maintain and Update Policies and procedures
*Review portfolio and fund restrictions
*Liase with UK and EU colleagues acting as the conduit between the uk and Spanish office
*Training
*Support regulatory reporting (FCA RegData and SEC FINRA)
*Undertake any ad hoc compliance projects in regard to new regulations
*Support ongoing assessment on SMCR
Experienced Required:
*A strong understanding of the UK wealth and asset management industry
*Minimum of 3years compliance experience gained with the Wealth and Asset Management industry.
*Good understanding of FCA and SEC regulations
*Understanding of fund management rules (UK and Irish Investment Funds)
*Excellent verbal and written communication skills
*Competently manage own workload and priorities.
*Be self-motivated and proactive within day-to-day responsibilities.
*Strong IT/MI production skills
Salary:
The Generalist Compliance role has a base salary of c£65,000 - £70,000 depending on experience plus excellent benefits and bonus package.
Hybrid working 3-4 days in the office is also on offer!
*Please note only candidates who meet the above criteria will be contacted