Compliance Associate

Role Description

The Compliance Associate supports the Compliance & Business Ethics function in ensuring compliance with applicable laws, regulations, and internal requirements, with a primary focus on investment compliance. The role assists in monitoring investment activities, supporting regulatory compliance initiatives, conducting compliance reviews, and contributing to the promotion of a strong culture of ethics, integrity, and accountability across the organization.

Responsibilities

• Support the execution of the organization's compliance and business ethics program.
• Conduct compliance reviews and monitoring activities to assess adherence to regulatory and internal requirements.
• Assist in monitoring investment activities and ensuring compliance with applicable investment guidelines and regulatory obligations.
• Review and assess compliance matters related to investment products, mandates, and financial market activities.
• Support regulatory assessments and the implementation of regulatory developments impacting the organization.
• Assist in preparing compliance reports, management updates, and regulatory communications.
• Support the development, maintenance, and periodic review of compliance-related policies and procedures.
• Assist in the management of compliance records, disclosures, and documentation.
• Support employee awareness and training initiatives relating to compliance and business ethics.
• Collaborate with internal stakeholders to provide compliance guidance and support business objectives.

Knowledge & Skills

• Strong understanding of investment management, financial markets, and investment products.
• Knowledge of compliance and regulatory frameworks applicable to financial services.
• Strong analytical and problem-solving skills.
• Ability to review, interpret, and apply regulatory and business requirements.
• Strong report writing and communication skills.
• High attention to detail and professional judgment.
• Strong ethical standards and integrity.

Core Competencies

• Integrity and Accountability
• Investment Compliance Knowledge
• Analytical Thinking
• Attention to Detail
• Effective Communication
• Professional Judgment
• Stakeholder Management
• Collaboration
• Continuous Learning
• Results Orientation

Requirements

• Bachelor's or Master's Degree in Finance, Investments, Economics, Accounting, Business Administration, Law, or a related discipline.
• Professional certifications in investments, compliance, governance, risk management, or related disciplines are an advantage.
• Minimum 5 years of relevant experience in investment compliance, asset management, investment operations, financial services compliance, risk management, internal audit, or a related field.
• Experience within an investment management company, asset manager, investment firm, pension fund, sovereign wealth fund, or other regulated financial institution is strongly preferred.
• Demonstrate understanding of investment products, financial markets, portfolio management concepts, and regulatory requirements applicable to investment activities.