Compliance Associate

Your new company

This is a CMS licensed firm operating across fund management and external asset management (EAM) businesses. The organisation manages investment solutions for sophisticated clients and operates within a highly regulated environment that places strong emphasis on governance, integrity, and risk discipline. With a lean structure and a commitment to best‑practice compliance standards, the firm offers an opportunity for a senior compliance professional to play a truly influential role within the organisation.

Your new role

As part of the core Compliance team, you will be responsible for owning and operating the full compliance and risk framework for the business whilst supporting the Head. This is a highly autonomous, sole‑contributor role where you will oversee regulatory compliance under the Securities and Futures Act (SFA) and Financial Advisers Act (FAA), trade and investment compliance, and advisory and EAM compliance mat...