Compliance - Associate - Business Unit Compliance

• Ability to work as part of a global team as we'll as act as project lead on various compliance matters
• Familiar with the risk and compliance function of asset management
• Understanding the development and implementation of compliance programs
• Ability to deal with business personnel and deliver good compliance outcomes in time constrained situations

RESPONSIBILITIES

• Provide Compliance support and representation on AWM strategic initiatives
• Review and approval of financial promotion materials
• Provide daily compliance surveillance of AWM portfolios for regulatory requirements and applicable policies and procedures
• Assistance in the production of board reports
• Participate in the review and evaluation of new instruments and vehicles to identify compliance issues and surveillance needs
• Develop and draft compliance policies and procedures, outlining firm policies, regulations and best practices
• Ensure breaches and complaints are logged and cover the compliance aspect of the sign off
• Create compliance training programs
• Compliance advisory regarding global asset management marketing and distribution questions: UCITS/Non-UCITS/cross border distribution
• Review and approval of due diligence on third party distributors
• Compliance advisory on new AWM fund launch projects
• Preparation, organization, and delivery of compliance trainings
• Miscellaneous projects as required

QUALIFICATIONS

• 3 years regulatory risk or compliance experience (asset management experience preferred)
• Highly motivated risk and control focused individual with excellent judgment
• Knowledge of investment instruments including derivatives
• General compliance knowledge and familiarity with asset management regulations
• Effective analytical and organizational skills
• Strong verbal and written communication skills
• Ability to handle multiple tasks with attention to detail and work under pressure
• Ability to work both independently and as part of a team