Generalist Compliance Analyst - Maldon Partners

About the role

The Generalist Compliance role will directly support the Compliance Manager in ensuring the firm meets its regulatory requirements (UK, EU and US) Responsibilities will include but not be limited to: Best Execution and Market Abuse monitoring Review marketing material Conduct routine monitoring PA dealing, COI and Gift and entertainment recording and sign off Interpret and apply compliance regulations Support the completion of due diligence questionnaires Maintain and Update Policies and procedures Review portfolio and fund restrictions Liase with UK and EU colleagues acting as the conduit between the uk and Spanish office Training Support regulatory reporting (FCA RegData and SEC FINRA) Undertake any ad hoc compliance projects in regard to new regulations Support ongoing assessment on SMCR Experienced Required: A strong understanding of the UK wealth or asset management industry Minimum of 3years compliance experience gained with the Wealth or Asset Management industry. Good understanding of FCA and SEC regulations DESIRABLE Understanding of fund management rules (UK and Irish Investment Funds) DESIRABLE Excellent verbal and written communication skills Competently manage own workload and priorities. Be self-motivated and proactive within day-to-day responsibilities. Strong IT/MI production skills Salary: The Generalist Compliance role has a base salary of c£65,000 - £70,000 depending on experience plus excellent benefits and bonus package. Hybrid working 3 days in the office is also on offer! *Please note only candidates who meet the above criteria will be contacted

Additional Information

Maldon Partners are recruiting a Generalist Compliance Analyst on a permanent basis for a global Wealth and Investment Management Firm. The firm specialises in working with HNW and UHNW individuals and families, charities and institutions. The company currently has c350 employees and a £25bn AUM with plans to massively grow this over the next few years having recently acquired another leading competitor. Hybrid working 3 days in the office.

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