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Compliance Associate - Legal & Regulatory





Brookfield is a global alternative asset manager with over $350 billion in assets under management. We have over a 120-year history of owning and operating assets with a focus on property, renewable power, infrastructure and private equity. Brookfield is a global organization with over 100,000 employees and operations in 30 countries in 5 continents. Brookfield is co-listed on the New York and Toronto Stock Exchanges under the symbol BAM and on NYSE Euronext under the symbol BAMA.

For more information, please visit our web site at www.brookfield.com.

Our asset management business consists of 5 business groups (Real Estate, Infrastructure, Power, Private Equity, and Public Securities) in addition to the Brookfield Management Group which covers the corporate functions. We operate on a decentralized basis where each business group is responsible for the activities of the business. Brookfield Management Group acts as a partner to each business group, performing certain functions that are shared across all groups (e.g.IT), sharing best practices, facilitating communication across the groups to ensure that activities that require consistency across groups are coordinated. Accordingly, we operate in a matrix environment requiring everyone to consider who might be impacted by a decision and/or who needs to be involved or aware.

Department Overview

The Legal, Regulatory and Compliance Group consists of seven people supporting the legal, regulatory and compliance requirements of the Brookfield Management Group.

Role Overview

This is an exciting opportunity to work in a fast-paced environment on a diverse range of compliance matters.  Self-motivation and proactivity are critical. The Compliance Associate will report to the Compliance Manager.

Key Responsibilities

  • Assisting with the update of policies, procedures and manuals to ensure they remain current
  • Maintaining compliance books and records
  • Prepare compliance management information including reports
  • Assist with regulatory filings
  • Conducting ABC searches and assisting with ABC DD
  • AML/KYC/Due diligence
  • Assisting with the implementation of the Compliance Monitoring Program
  • Keep abreast of current regulatory changes and prepare regulatory reform summaries/updates (FCA, GDPR, SMCR, Cyber Security etc)
  • Assisting with the preparation of policies and programs and response to the legislative and regulatory developments such as MiFID II, SMCR, GDPR
  • Employee training
  • Approved Persons classification and applications for new starters
  • Engaging with the external lawyers on various matters
  • Be a point of contact for compliance queries from the business and support it by providing commercially viable advice and guidance
  • Provide co-ordination support for internal audit reviews
  • Complete ad hoc compliance tasks as requested by the compliance team

Technical Skills

  • Good knowledge of FCA handbook and AIFMD helpful
  • Excellent interpersonal, analytical, and problem-solving ability
  • Solid knowledge of MS Office
  • Strong written and verbal communication skills
  • Ability to handle large volume of work in a fast-paced environment; good organizational skills and ability to prioritize work and meet deadlines
  • Self-motivated and proactive, both with respect to managing workload and own professional development

Posted 21 days ago

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