About

Our client, a highly successful outsourced investment office, is looking for a Senior Associate to join their Compliance team on a fixed-term contract. The successful candidate will be responsible for a broad range of compliance matters across all areas of the firm and will contribute to the efficient running of the compliance function in the UK. They will report directly to the General Counsel and Head of Compliance (based in London). Role & Responsibilities: Provide advice and guidance to the business on regulatory and compliance issues as required (such as for instance MiFID II, AIFMD, Suitability, Financial Promotions, TCF, Market Abuse, Product Governance etc.) Analyse and interpret regulatory developments. Conducting risk assessments, gap analysis, monitoring and testing as part of the overall Compliance Monitoring Plan (CMP), maintaining and developing the CMP processes, tracking action items to resolution, follow-up implementation of recommendations, writing reports including recommendations and providing appropriate management information on progress. Development and maintenance of management information. Ensure the submission of regulatory returns to the FCA in a timely manner and respond to standard requests. Maintain the core compliance regulatory registers. Draft and update internal policies and procedures in line with regulatory developments. Support the firm’s compliance with Anti-Money Laundering (AML) requirements. Support the development and implementation of the firm’s global compliance agenda in US, UK, Singapore and Hong Kong (no need for expertise in local laws). Support the development and implementation of the firm’s compliance training program. Inform, advise and educate business units and senior management on all relevant compliance and AML matters. Any other ad-hoc projects as required. Be