• 23 September 2008
• Reference: JR205245

• Legal & Compliance Associate Associate

• City of London £30,000 - £35,000 p/a Permanent (Part time)

Our client is a leading global fund manager based in the heart of London

This is a hybrid legal and compliance role offering an excellent introduction to a dynamic organisation.

Role Specification:
To provide general support for the Legal and Compliance team. Previous Legal and Compliance experience not required but desirable.
High class organization skills are a must. Clear, detailed, logical approach essential.
Ability to work with little supervision.
Hard working/intelligent/enquiring/flexible approach required.
Must be a team player with an ability to foster good working relations and support the Legal and Compliance team's professional standards and client service orientation

Primary point person in maintaining Chinese Walls for Bank Loan Business
Liaising with the portfolio management team to understand the business flow and their intentions with respect to prospective deals;
Acting as contact point for bank loan arrangers who provide information on new deals;
Determining in accordance with firm policies and legal guidance what information can be passed to the portfolio management teams;
Responsible for the operation of procedures designed to ensure public information only is passed on to portfolio management where they wish to remain public on a security.
Responsible where portfolio management wish to have sight of information in private bank loan books, but wish to remain public on the security, for the proper assessment, review and deletion of potentially price sensitive information from private bank loans information prior to any information being passed to portfolio management.
Maintaining records of information received, assessed and forwarded;
Ensuring that all appropriate legal/contractual arrangements for the receipt of information are understood and completed where appropriate;
Ensuring that the firm's restricted list and other appropriate Wall arrangements are properly maintained and updated.

Provide support to the regulatory compliance team
Primary point person in approving marketing literature
Timely approval of presentations
Provide clear guidance to marketers around what can be marketed in which jurisdictions
Provide timely MI

Assist in the coordination and fulfilment of compliance monitoring
Fulfil monitoring programme and maintain monitoring files that support and evidence completion of daily, monthly, quarterly, half-yearly, and annual monitoring tests.
Complete the quarterly checklist within one month of quarter end and present to Compliance Officer, along with supporting file, for sign-off.
Develop and produce timely compliance monitoring MI that identifies key issues, trends, and recurring issues across both the quarterly monitoring and regulatory monitoring programmes.

Assist in the production and issuance of Compliance confirmations
Timely production and issuance of compliance certificates
Draft compliance certificates for sign-off by Compliance Officer
Maintain files of completed and issued confirmations

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Keywords related to this job

• Compliance,
• Paralegals,
• City of London,
• Permanent,
• Asset/ Investment Management,
• Part Time,
• Legal Compliance