Senior Associate - Compliance

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Vacancy Name
Senior Associate - Compliance

Location(s)
London

Employment Type
Permanent

Department
Compliance

Description

Who are we looking for?
In the Carne Group we are looking for a Compliance Officer with at least two years of experience to join our growing team in our regulated UK based entities. This role is for someone who is self-motivated, professional, and looking to gain exposure in a global workplace. CGUK provides Host Authorised Corporate Director (ACD) and AIFM services for investment managers and CIFSUK acts as the Principal to a number of Appointed Representatives.

What are the minimum requirements you need for the role?

• Minimum 2 years' experience of Compliance within a Host ACD environment or Authorised Fund Manager/Alternative Investment Fund Manager or fund administration environment
• Knowledge and experience of UK products (e.g., UCITS, NURs, QIS, AIFs, Unit Trusts, OEICs, ICVCs, Investment Trusts etc)
• Experience of dealing with third party investment managers
• Third level degree required

• Professional qualification e.g., accountancy or law preferred
• Relevant industry qualifications (e.g., investment management, investment advice/planning, investment operations) preferred

What is the role and your responsibilities?

Compliance and Regulatory Matters

• Providing compliance advisory services to CGUK/CIFS in relation to their Host ACD and AIFM services and ARs
• Supporting (including reviewing and challenging) the establishment and maintenance of effective and robust systems, controls and governance
• Conducting second line of defence compliance monitoring in accordance with the FCA Handbook

• Assessing funds for compliance with CGUK'S Product Governance requirements
• Reviewing fund Value Assessments in accordance with COLL
• Maintaining and enhancing compliance policies and procedures, in line with the Carne Group and in conjunction with the Compliance Manager
• Conflicts of interest management

• Assisting with the on-boarding of new clients and platforms
• Reviewing and approving Financial Promotions
• Conducting internal investigations of breaches, complaints and other issues
• FCA RegData reporting (in conjunction with Finance) and Connect submissions
• Maintenance of recordkeeping

• Advising CGUK/CIFSUK on current and forthcoming FCA (and relevant European) regulatory requirements, including Financial Crime (AML/CTF, Anti-Bribery)
• Overseeing the compliance of the Appointed Representatives with CIFSUK policies and procedures
• Ad hoc projects and tasks

Key requirements

• To comply with all relevant CGUK/CIFSUK policies and requirements.
• Good knowledge of the FCA Handbook (e.g., SYSC, COLL, COBs, FUND, SUP, CASS, PROD and ESG)
• Attendance at governance committees
• Supporting engagement with the FCA and other regulators
• Investigation of suspicious activity / attempted fraud and reporting to MLRO for onward reporting to relevant bodies, including the National Crime Agency.

• Supporting engagement with investment managers
• Supporting and engaging with Carne Group business areas as appropriate - Finance, Legal, CoSec, Operations, Business Development, Relationship Management and Operational Due Diligence
• Engagement with industry colleagues and contacts so as to keep abreast of market developments, technical matters and regulatory changes

What competencies do you require?
Teamwork (Team player)Develops relationships within and across teams, working collaboratively to resolve potential challenges quickly.Developing OthersMotivates and supports others to deliver results, coaching them to optimise performance.Leading and InfluencingTakes the lead within the team and wider organisation, able to influence and persuade others in order to achieve objectives.Effective CommunicationCommunicates effectively, engaging with others in a warm and professional mannerPlanning and OrganisingOrganises and plans work effectively, ensuring delivery to quality and timescales in the short and longer termAnalytical (Attention to detail)Analyses and understands relevant and complex information and data to draw appropriate insights.Strategic Focus (Problem-Solving)Thinks strategically, thrives on innovation, considers the wider picture to identify new approaches to enhance business impactAdaptabilityAdapts approach and responds effectively to different situations, people and new opportunitiesResilienceWorks well under pressure, bounces back quickly from setbacks in a positive and constructive mannerDrive and MotivationHighly motivated and driven, able to focus on what needs to be achieved and enthuses others to do this.QualityMotivated to produce accurate, quality, and timely work output.Client-centric focusMotivated by customer-facing environments, understanding their needs, and providing a good service.Learning MindsetCuriosity to learn and understand key factors, new techniques or technologies affecting their work.
Who is Carne Group?

Carne Group has established itself in the funds industry with $2tn in AUM supported by 600+ staff and four regulated management companies. Together with a large team of industry specialists, Carne serves more than 650+ traditional and alternative asset management clients from key fund jurisdictions and financial hubs including Ireland, Luxembourg, Zurich, Lisbon, London, New York, Cayman and Channel Islands.

Excellence and innovation are central to Carne's work and we are committed to attracting and retaining the best talent to deliver an unrivalled service to our clients. Whilst working with Carne, you will be provided with opportunities to develop your skills and experience by working in a dynamic, innovative, and multicultural environment where exciting careers are built.

We love hearing from anyone who is enthusiastic about changing the asset management industry. Not sure if you meet all the requirements? Let us decide! Research shows that members of other under-represented groups tend not apply to jobs when they think they may not meet every qualification, when in fact, they do! At Carne we are committed to creating a diverse and inclusive environment and strongly encourage you to apply.