Compliance Generalist | Asset Management | 35k-45k + bonus
other jobs Michael Page Finance
Added before 3 Days
- England,London,City of London
- Full Time, Permanent
- £35,000 - £45,000 per annum
Job Description:
Full job descriptionThe Compliance Generalist will support the CCO in ensuring the firm adheres to all relevant regulatory requirements, including FCA rules and broader UK/EU financial regulations. This is a hands-on role suited to a proactive individual looking to deepen their experience in a dynamic and fast-paced environment.
Client Details
Our client is a boutique asset management firm based in Central London, specialising in bespoke investment strategies across equities, fixed income, and alternative assets. The firm prides itself on a collaborative culture, high-touch client service, and a strong commitment to regulatory integrity.
Description
*Conduct compliance monitoring and testing in line with the Compliance Monitoring Programme, ensuring issues are reported and remediated, and the programme is regularly reviewed for regulatory coverage.
*Manage conflicts of interest by reviewing, escalating, and recording them in accordance with internal policies and procedures.
*Reviewing and approving financial promotions and fact sheets
*Support policy and procedure development, including drafting and reviewing documentation to ensure regulatory alignment.
*Oversee day-to-day compliance approvals, including personal account dealing, gifts and benefits, and outside business interests.
*Provide regulatory support, including KYC and sanctions screening, offering guidance to the business, and staying informed on regulatory developments.
Profile
*1-3 years of compliance experience within an AIFM, with solid knowledge of AIFMD regulations.
*Working understanding of key regulatory frameworks, including MiFID II, UCITS, SMCR, and ideally private equity.
*Strong communication skills, both written and verbal, with the ability to manage expectations and engage effectively across teams.
*Proactive and organised, demonstrating initiative and ownership in administrative and compliance tasks.
*Analytical mindset with sound research skills, and a high-level understanding of risk in the asset management context.
Job Offer
*Salary ranging from £35,000 to £45,000.
*Performance-based bonus and share-options scheme.
*Comprehensive pension scheme and private healthcare.
If you are ready to take the next step in compliance within an asset management environment, we encourage you to apply today.
Client Details
Our client is a boutique asset management firm based in Central London, specialising in bespoke investment strategies across equities, fixed income, and alternative assets. The firm prides itself on a collaborative culture, high-touch client service, and a strong commitment to regulatory integrity.
Description
*Conduct compliance monitoring and testing in line with the Compliance Monitoring Programme, ensuring issues are reported and remediated, and the programme is regularly reviewed for regulatory coverage.
*Manage conflicts of interest by reviewing, escalating, and recording them in accordance with internal policies and procedures.
*Reviewing and approving financial promotions and fact sheets
*Support policy and procedure development, including drafting and reviewing documentation to ensure regulatory alignment.
*Oversee day-to-day compliance approvals, including personal account dealing, gifts and benefits, and outside business interests.
*Provide regulatory support, including KYC and sanctions screening, offering guidance to the business, and staying informed on regulatory developments.
Profile
*1-3 years of compliance experience within an AIFM, with solid knowledge of AIFMD regulations.
*Working understanding of key regulatory frameworks, including MiFID II, UCITS, SMCR, and ideally private equity.
*Strong communication skills, both written and verbal, with the ability to manage expectations and engage effectively across teams.
*Proactive and organised, demonstrating initiative and ownership in administrative and compliance tasks.
*Analytical mindset with sound research skills, and a high-level understanding of risk in the asset management context.
Job Offer
*Salary ranging from £35,000 to £45,000.
*Performance-based bonus and share-options scheme.
*Comprehensive pension scheme and private healthcare.
If you are ready to take the next step in compliance within an asset management environment, we encourage you to apply today.
Job number 3719836
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Company Details:
Michael Page Finance
Company size: 5,000 employees
Industry: Accountancy (Qualified)
Michael Page Finance has been helping to shape successful careers and placing top talent into their dream roles since 1976. We specialise in the perma...