The 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.