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About the Role

The Compliance Associate role is key to supporting internal and external compliance requirements for authorised firms and investors. This role assists the Compliance Officer and MLRO in ensuring the Firm and its Appointed Representatives (ARs) maintain robust compliance with FCA rules. The role holder will develop their regulatory compliance knowledge and professional competence within the UK's regulatory framework, particularly in the investment and venture capital sectors.

Responsibilities

Organization, development, and delivery of compliance training
Periodic reviews of internal policies and procedures, suggesting updates and improvements
Assisting the Compliance Manager with onboarding and monitoring of the Firm’s Appointed Representatives
Initial review and commentary on draft Financial Promotions
Assisting with the preparation of regulatory filings
Maintaining compliance systems and related data
Processing Subject Access Requests
Compiling internal data and providing periodic reports for management information and regulatory requests
Ensuring the Firm’s Business Continuity Plan is regularly reviewed and tested
Carrying out aspects of the Firm’s Compliance Monitoring Program and reporting thematic issues
Liaising with clients or third parties for due diligence information and compliance queries
Regulatory change monitoring, assessment, and implementation
Regularly reviewing and contributing to Risk Management processes
Cultivating and maintaining a strong compliance culture
Embracing change and continuously improving work processes
Working closely with and supporting colleagues
Motivating self and others

Requirements

Good general knowledge of UK investment products, preferably venture capital (specifically AIFMD and MiFID regulations)
Knowledge of SDR would be advantageous but not essential
Strong working knowledge and proficiency in Microsoft Excel and Word
Excellent verbal and written communication skills in English
Ability to work independently and in a team
Demonstrable initiative

Skills

Microsoft Excel
Microsoft Word
Verbal communication
Written communication
Independent work
Teamwork
Initiative

Education Level

Undergraduate degree preferable but not essential
Relevant compliance qualifications preferred but not essential (Level 3/4 CISI or equivalent)