I am partnered with an asset management business, who is looking for a Compliance Associate to join the team based in London.
The successful candidate will need to have experience and exposure to FCA/PRA Handbook, SEC reporting and Mifid II is a minimum requirement for this role.
* Assist the CO to meet FCA and SEC regulatory compliance requirements including AIFMD obligations and adhere to all other applicable overseas regulatory requirements.
* Assist the CO to conduct duties as MLRO, ensuring that the firm's anti Money Laundering procedures are regularly reviewed and updated as appropriate.
* Report any issues of compliance to the CO as quickly as possible, in particular any breaches.
* Develop and maintain company's Compliance Manual.
* Assist the CO to organise compliance training for all partners and staff.
* Assist the CO to compile compliance related responses for RFPs/DDQs.
* Liaise and develop working relationships with parent group compliance department including regular reporting requirements via the Ascendant Compliance web portal.
* Monitor regulatory sanctions and implement where appropriate.
* Monitor group and company conflicts with staff.
* Work with external compliance advisors of company on ad hoc matters and projects.
Charles Levick Limited are a leading global financial recruiter providing innovative solutions across Capital Markets, Financial and Professional Services organisations. Founded in 2008, Charles Levick is privately owned and operates from offices based within the City of London and New York.
A truly independent company with a global reach, we pride ourselves on delivering honest and intelligent guidance developing long term sustainable relationships. Our breadth of expertise and services allow us to deliver solutions across our sectors ranging from junior analyst through to C-Suite requisitions, all delivered with exceptional levels of attention to detail and service that have helped us to grow into the organisation we are today.
We have managed to build an enviable reputation partnering a diverse range of large and small organisations initially within London, but now globally, actively supporting clients across Europe, Asia and the US. With decades of experience, we have been able to develop a substantial knowledge of our markets as well as building loyal relationships with our clients and candidates.
Our business is devised of 5 core areas of specialisation: