Compliance Associate

Role Overview

The Compliance Associate plays a vital role in supporting the Compliance & Business Ethics team to ensure that the company adheres to all relevant laws, regulations, and internal policies, specifically concentrating on investment compliance. This individual helps oversee investment activities, drives compliance initiatives, conducts thorough compliance evaluations, and fosters a culture of ethics, accountability, and integrity throughout the organization.

Responsibilities

• Assist in executing the company's compliance and ethical business programs.
• Perform compliance assessments and monitoring to verify alignment with regulatory standards and internal policies.
• Monitor investment operations to guarantee conformity with investment guidelines and legal requirements.
• Evaluate compliance concerns linked to investment products, mandates, and market activities.
• Support regulatory examinations and aid in implementing changes in applicable regulations affecting the company.
• Prepare reports on compliance matters, updates for management, and regulatory notifications.
• Contribute to creating, updating, and regularly reviewing compliance policies and procedures.
• Manage compliance records, disclosures, and relevant documentation effectively.
• Promote awareness and training efforts regarding compliance and ethical conduct among employees.
• Work collaboratively with internal teams to offer compliance guidance and support corporate goals.

Required Knowledge and Skills

• Comprehensive understanding of investment management, financial markets, and related investment products.
• Familiarity with financial services compliance and regulatory frameworks.
• Strong analytical capabilities coupled with effective problem-solving aptitude.
• Skill to interpret, analyze, and apply both regulatory and business requirements correctly.
• Exceptional report writing and communication skills.
• Keen attention to detail along with sound professional judgment.
• Adherence to high ethical standards and remarkable integrity.

Core Competencies

• Integrity and accountability
• Knowledge of Investment compliance
• Analytical thinking
• Attention to detail
• Effective communication
• Professional judgment
• Managing stakeholder relationships
• Collaborative teamwork
• Commitment to continuous learning
• Focus on results

Educational and Professional Requirements

• A Bachelor's or Master's degree in Finance, Investments, Economics, Accounting, Business Administration, Law, or a related area.
• Relevant professional certifications in investment, compliance, governance, risk management, or associated fields are advantageous.
• At least five years of experience in investment compliance, asset management, investment operations, financial services compliance, risk management, internal auditing, or a comparable domain.
• Preferably experience gained within investment management firms, asset managers, investment companies, pension funds, sovereign wealth funds, or other regulated financial institutions.
• Solid understanding of investment products, portfolio management principles, financial markets, and the regulatory landscape impacting investment activities.