Associate Director - Compliance

Job Type:
Job Sector:
£60,000 to £70,000 per annum
Job Ref:

Our client is a well established fund services operation with offices in London.  At this exciting stage in their growth the company is looking to add further expertise to this highly professional operation.  They seek a compliance specialist with at least 6 years' regulatory experience relevant to the investment funds sector to work closely with their Head of Compliance.

Main responsibilities:
  • Assisting the execution of the Compliance Program, supporting CF10 and CF11 functions
  • Structuring and executing the compliance monitoring program, reporting accordingly
  • Working closely with internal compliance and legal teams, advising on policy and best practice
  • Develop a compliance monitoring framework to oversee fund marketing activity
  • Liaising with external and internal clients, as well as the FCA and external solicitors
  • Managing the breach and escalation process
The successful candidate will have a recognised industry qualification and/or a proven regulatory compliance background of at least 6 years.  Strong knowledge of UCITS and AIFMD regulations is essential as well as a clear understanding of the CASS Rules.  You will be a strong communicator with a hands on knowledge of fund administration and established practice.
Contact Details:
Tel: 01277 263578
Contact: Steve Johnson

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