- £45,000 - £55,000 + benefits, depending on experience
Our client is a London-based asset management firm focused on European investment opportunities across the corporate and real estate sectors, both in public and private markets. They are seeking a Compliance Associate to join the Operations team on a permanent basis, supporting the business on the establishment of investment structures, implementation of compliance projects and compliance administration. This is a fantastic opportunity to join a fast-paced organisation offering excellent prospects for professional development.
- Manage the process for the establishment of bank accounts for investment funds and special purpose vehicles in various jurisdictions.
- Respond to KYC, AML and sanctions requests (including coordinating the completion of tax forms and UBO declarations) from investment counterparties, lawyers, lenders, investors, brokers and other third parties with respect to fund vehicles and entities.
- Support Fund Administrators and corporate service providers with KYC and AML due diligence processes on counterparties to investments, ensuring that regulatory obligations are satisfied.
- Support the Investment teams on the incorporation and establishment of special purpose vehicles, including liaising with corporate service providers and banks.
- Support the business with operational due diligence reviews and meetings with fund investors.
- Assist the firm's Compliance Officer with compliance monitoring (including personal dealing requests and communications surveillance), policy reviews and implementations, annual attestations, staff training, FCA filings and responding to FCA communications.
- Conduct initial and ongoing customer due diligence on the firm's contractual counterparties and business relationships in accordance with the firm's AML policies and procedures, as well as assisting the firm in sanctions screening.
- Liaise with corporate service providers, Fund Administrators and fund investors to collect documentation and complete initial and ongoing customer due diligence reviews.
- Take responsibility for record retention and document management for the firm's compliance registers, logs and assessments and coordinate the collation of data and documents for the firm's compliance management system.
- Previous experience of compliance support, particularly conducting and completing customer due diligence processes and KYC/AML checks within a private, closed-ended fund structure.
- An effective communicator who can interact efficiently with third-party service providers, Fund Administrators, brokers, custodians, lenders, fund investors and investment counterparties.
- Highly process-oriented, with strong accuracy and attention to detail.
- Able to prioritise competing workflows effectively.
- Able to work independently and with initiative in a fast-paced environment.
- Experience using FCA systems such as Connect and RegData, or Worldcheck/similar AML and sanctions screening tools will be advantageous.
To apply for this role, please use the Apply button, or alternatively, email your CV to Samantha van Staden: email@example.com quoting reference SVS52996.
Please note that due to the expected volume of applications, we will only be able to respond to those candidates whose experience matches the requirements of our client. We are sorry, but if you have not heard from us within the next ten days, please assume you have been unsuccessful on this occasion.
Walker Hamill has been a specialist finance and strategy recruiter for over 30 years. We have an extensive client group, including major multinational listed organisations, private equity backed businesses and privately owned companies. We recruit across all sectors and have particularly strong client relationships in media, retail, pharma/biotech, technology, property/real estate, leisure and business services. Headquartered in London, we have additional offices in continental Europe. For more information, please see www.walkerhamill.com.