Compliance Associate - Asset Management

The Role

The Compliance Associate supports the Compliance and Business Ethics function at the asset manager. The primary focus is investment compliance, including monitoring investment activities, supporting regulatory compliance initiatives, conducting compliance reviews, and contributing to a culture of ethics and accountability across the organisation.

Key Responsibilities

• Support the execution of the compliance and business ethics program.
• Conduct compliance reviews and monitoring activities to assess adherence to regulatory and internal requirements.
• Monitor investment activities and assess compliance with applicable investment guidelines and regulatory obligations.
• Review compliance matters related to investment products, mandates, and financial market activities.
• Support regulatory assessments and the implementation of regulatory developments affecting the organisation.
• 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 managing compliance records, disclosures, and documentation.
• Support employee awareness and training initiatives related to compliance and business ethics.
• Collaborate with internal stakeholders to provide compliance guidance and support business objectives.
  
  

Skills & Experience

• Bachelor's or Master's degree in Finance, Investments, Economics, Accounting, Business Administration, Law, or a related discipline.
• Minimum five 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.
• Professional certifications in investments, compliance, governance, or risk management are an advantage.
• Understanding of investment products, financial markets, portfolio management concepts, and regulatory requirements applicable to investment activities.
• Knowledge of compliance and regulatory frameworks applicable to financial services.
• Ability to review, interpret, and apply regulatory and business requirements.
• Strong analytical and problem-solving skills.
• Strong report writing and communication skills.
• High attention to detail and sound professional judgment.
• Strong ethical standards and integrity.
  
  

About Senna

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