We're recruiting for an in-house legal opportunity with an asset management business based in Central London. This is a newly created role working closely with the General Counsel. The firm is in the retail fund space and has seen a lot of growth in recent years - they currently have circa $3bn under management and they're expanding into Asia and the Middle East. The parent company is large - $250bn+. The role itself will be extremely varied spanning fund formation, marketing of funds and a whole variety of corporate and commercial matters. The firm would consider an experienced funds paralegal (with inhouse or private practice experience) or a newly qualified solicitor. Salary would depend on experience. Please contact James Willacy at Austin Andrew for further details -
Jun 17, 2025
Full time
We're recruiting for an in-house legal opportunity with an asset management business based in Central London. This is a newly created role working closely with the General Counsel. The firm is in the retail fund space and has seen a lot of growth in recent years - they currently have circa $3bn under management and they're expanding into Asia and the Middle East. The parent company is large - $250bn+. The role itself will be extremely varied spanning fund formation, marketing of funds and a whole variety of corporate and commercial matters. The firm would consider an experienced funds paralegal (with inhouse or private practice experience) or a newly qualified solicitor. Salary would depend on experience. Please contact James Willacy at Austin Andrew for further details -
Act as a point of contact for Central Compliance & Control Room issues. Ensure the processing, preparation and submission of all daily control room reports as required. These include but are not limited to Daily Restricted List, Credit Research List, PA Dealing Stop & Watch List, Short Selling Reports, POTAM Reports, Watch List/Restricted List Monitoring. Assist in the execution of the Central Compliance and Control Room core duties, including but not limited to, the management of insider and deal lists, Personal Account Dealing requests and monitoring, new SMF Applications and FCA Directory uploads (including liaison with the FCA as required); Gifts and Entertainment. Participating in the wider compliance function by assisting with Audits, projects and other initiatives. Assisting in various branch reporting requirements and liaison - monthly Report, Financial Crime Report, US Disclaimer Report. To contribute to the on-going review and revision of policies and procedures as required. Assist in the process of periodic attestations in support of the policies and procedures. Assist in the production of management information, including material for the various committees in the governance structure and Board reports. The role holder may be expected to control and/or process large amounts of personal data, which may include sensitive categories of personal data. The role holder is responsible for having an awareness of GDPR obligations and ensuring that all tasks which control and/or process personal data are carried out in line with internal data protection policies and standards.
Dec 02, 2021
Full time
Act as a point of contact for Central Compliance & Control Room issues. Ensure the processing, preparation and submission of all daily control room reports as required. These include but are not limited to Daily Restricted List, Credit Research List, PA Dealing Stop & Watch List, Short Selling Reports, POTAM Reports, Watch List/Restricted List Monitoring. Assist in the execution of the Central Compliance and Control Room core duties, including but not limited to, the management of insider and deal lists, Personal Account Dealing requests and monitoring, new SMF Applications and FCA Directory uploads (including liaison with the FCA as required); Gifts and Entertainment. Participating in the wider compliance function by assisting with Audits, projects and other initiatives. Assisting in various branch reporting requirements and liaison - monthly Report, Financial Crime Report, US Disclaimer Report. To contribute to the on-going review and revision of policies and procedures as required. Assist in the process of periodic attestations in support of the policies and procedures. Assist in the production of management information, including material for the various committees in the governance structure and Board reports. The role holder may be expected to control and/or process large amounts of personal data, which may include sensitive categories of personal data. The role holder is responsible for having an awareness of GDPR obligations and ensuring that all tasks which control and/or process personal data are carried out in line with internal data protection policies and standards.