Senior Associate - Compliance

Description

Compliance Associate

6 Month Contract

£350 per day - £450 per day DOE

London

A Senior Associate position has come up to work within a large asset management firm to work on their ongoing compliance with Corporate & Regulatory compliance policies.

You will have participation in or heading up thematic and monitoring reviews, oversight of assessment, communication and implementation of regulatory change. You will be required to draft responses to industry papers as and when needed.

As compliance professional you will need to advise and support local operational management on general compliance matters.

You may be required to add you input when business is outsourced and travel may be required.

Key Responsibilities

• You will work as part of a team on the implementation of the thematic compliance monitoring program. This will be done to a high standard and delivered on time.

• With any outsourced business you will need to conduct reviews on specified areas

• Prepare reports

• Ensure that all findings are accurately recorded on GCMS and that proactive actions are taken to ensure satisfactory resolution of issues raised

• Liaise with various departments to ensure a efficient and effective Compliance advisory service when needed

• Where necessary, act as a contact with the local regulatory authority

• Formulate a process ensuring that key regulatory changes are analysed

• Analysing documents for prospective clients and outlining any concerns with respect to compliance and propose any potential solutions

Skills Required

• Broad understanding and experience within the asset management/investment funds industry
• Well developed audit skills and compliance monitoring
• Good knowledge of the local regulatory environment, ongoing regulatory initiatives which impact the business lines
• Providing Compliance to new starters or other individuals as required

If you feel you have the relevant skills and experience please apply alternatively contact me, Pritesh Chudasama directly on .

To find out more about Real, please visit us on www.realstaffing.co.uk