Description
Compliance Associate - Investment Management £60k - £80k PLUS Bonus and Benefits London - Hybrid Company A quantitative lead Investment Manager that has over £8b in AUM within a range of systematic investment solutions. The company is UK-based that employs around 150 people. Role Compliance is an integral part of our corporate governance and we are looking for a candidate with generalist experience who is able to assist with both advising the business on regulatory requirements, as well as developing and supporting the team’s Compliance Monitoring Programme, including regulatory reporting. The role will involve working with other departments including senior managers and Board directors. This is an excellent opportunity for someone looking to further their compliance skills in a fast-paced and challenging environment. With offices in London and the US, and clients from around the world, you will work on a broad array of regulatory matters across multiple jurisdictions and fund structures. Your Responsibilities There are two key parts to this role: Firstly, assisting with the variety of tasks that comprise the companies internal CMP and internal Regulatory Reporting Procedures (“RRP”). The CMP and RRP is based on the Firm’s Compliance Risk Assessment and comprises the various checks and processes that Compliance undertakes in order to meet the firms obligations to its clients and regulators (FCA, SEC, CFTC and NFA) and to comply with jurisdictional rules for all countries to which Aspect maintains exposure. These will include: Accurate reporting of the compliance monitoring programme results and escalating breaches appropriately. Ensuring the compliance monitoring procedures and regulatory reporting procedures are kept up to date and that they continue to evolve in line with regulatory changes. Assisting with and collating accurate information to ensure submission of timely regulatory filings. Secondly, advising the business, including on new product launches, new markets to be traded and new regulatory requirements. You will also be involved with the review and approval of financial promotions, assisting the Investor Relations team with the completion of due diligence questionnaires, compliance on-boarding of new managed accounts, intermediaries and rebate agreements (including AML), writing, reviewing and updating policy documents, keeping up to date with international regulatory developments and amending procedures accordingly, assisting with updating of international selling restrictions in relevant jurisdictions. Your Experience Minimum of 3-5 years in a similar compliance role at an asset manager or hedge fund manager. Good knowledge of the regulations applicable to systematically traded hedge funds (particularly MiFID II and AIFMD). Some knowledge and experience of US regulations and the UCITS directive would be useful An interest in financial markets and financial products including an understanding of managed futures specifically and hedge funds generally. If you have an interest in compliance, the desire to learn more and continuously improve processes and achieve efficiencies this role should definitely be of interest and we would love to hear from you.