Maldon Partners are recruiting a Generalist Compliance Analyst on a permanent basis for a global Wealth and Investment Management Firm.
The firm specialises in working with HNW and UHNW individuals and families, charities and institutions.
The company currently has c350 employees and a £25bn AUM with plans to massively grow this over the next few years having recently acquired another leading competitor.
Hybrid working 3 days in the office.
The Role:
The Generalist Compliance role will directly support the Compliance Manager in ensuring the firm meets its regulatory requirements (UK, EU and US)
Responsibilities will include but not be limited to:
- Best Execution and Market Abuse monitoring
- Review marketing material
- Conduct routine monitoring
- PA dealing, COI and Gift and entertainment recording and sign off
- Interpret and apply compliance regulations
- Support the completion of due diligence questionnaires
- Maintain and Update Policies and procedures
- Review portfolio and fund restrictions
- Liase with UK and EU colleagues acting as the conduit between the uk and Spanish office
- Training
- Support regulatory reporting (FCA RegData and SEC FINRA)
- Undertake any ad hoc compliance projects in regard to new regulations
- Support ongoing assessment on SMCR
Experienced Required:
- A strong understanding of the UK wealth or asset management industry
- Minimum of 3years compliance experience gained with the Wealth or Asset Management industry.
- Good understanding of FCA and SEC regulations DESIRABLE
- Understanding of fund management rules (UK and Irish Investment Funds) DESIRABLE
- Excellent verbal and written communication skills
- Competently manage own workload and priorities.
- Be self-motivated and proactive within day-to-day responsibilities.
- Strong IT/MI production skills
Salary:
The Generalist Compliance role has a base salary of c£65,000 - £70,000 depending on experience plus excellent benefits and bonus package.
Hybrid working 3 days in the office is also on offer!
*Please note only candidates who meet the above criteria will be contacted