Our client is a market leading investment manager, seeking a Compliance Analyst to join the growing team.
THE RESPONSIBILITIES:
Assist in the development of policies and the establishment of reviews of procedures and policies where needed
Ensure potential conflicts of interest are reviewed and appropriately escalated and recorded in line with Policies and Procedures
Undertake testing in line with the Compliance Monitoring Programme, working with the business on issues identified to ensure they are reported, and remediation is completed where needed. Review and develop the program to ensure regulatory risks are captured
Develop relationships with all relevant internal and external parties (such as ACD, custodians and various fund boards and committees), to ensure a culture of continuous improvement
Be responsible for reviewing, recording and approving day-to-day compliance requests such as: PA Dealing, G&E, OBI’s
Assist the business by providing regulatory guidance
Assist the team by undertaking KYC, identification and sanction screening checks
Carry out other duties and projects as and when required in line with team objectives
Stay informed of regulatory developments and how they would impact on the business
EXPERIENCE REQUIRED:
Circa 2-3 years’ experience within the Compliance function of a Buy side firm
Experience of FCA regulations
An understanding of SMCR, MiFID II and UCITS would be useful
For further information please contact Duncan Jeffery
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