Compliance Assistant – Asset Manager

The Borough, London

Key responsibilities include:

  • Monitor client investment restrictions and other compliance daily checks;
  • Compliance Monitoring Programme testing and programme organisation/maintenance;
  • Assist in the production of monthly, quarterly, bi-annual and annual compliance reporting to clients;
  • Recordkeeping of Conflicts of Interests, including Personal Account Dealing, Gifts and Entertainment, Outside Business Interests and Political and Charitable Contributions;
  • Maintain the Compliance Communications Log;
  • Organise and assist in the delivery of Annual Compliance Training and New Employee Training;
  • Coordinate the London Compliance team meetings.
  • Transcribe the minutes from the compliance meetings as required
  • Maintain the London Compliance Inbox.

Ideal Candidate:

  • Relevant Compliance experience: minimum of 12 months of experience within a Fund, Asset, Investment or PE firm – must be core/central Compliance
  • Knowledge of FCA Handbook and Rules
  • University degree preferred
  • Excellent verbal and written skills
  • Capable of researching upcoming and ongoing regulatory initiatives
  • Strong attention to detail and inquisitive nature;
  • Strong interpersonal skills – engagement with a variety of stakeholders across the business
  • Strong oral and written communication

To discuss the role in greater detail please contact Ed Manson onor send through your CV to

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.