Compliance Analyst (12 month FTC)

THE COMPANY:

Our client is a leading Asset Manager based in London who currently have c£5bn AUM.  They are looking to hire a Compliance Analyst on a 12 month FTC.

THE RESPONSIBILITIES:

• Best execution outlier monitoring and improvements (using LiquidMetrix)
• Investigating Market Abuse escalations (we outsource the initial case load)
• Bloomberg Vault Comms monitoring & escalation point
• Committee MI on Market Abuse
• Market Soundings and gatekeeper processes
• Regulatory disclosures – major shareholding, takeover panel, short positions
• Fund Manager Change in Control checks
• PA dealing and gifts & hospitality approvals
• Broker take-on process
• Compliance Monitoring thematic reviews as required
• Project work as required
• Supporting on investment guidelines daily work and projects as required

 EXPERIENCE REQUIRED:

• Number of years in asset management or other comparable financial services roles
• Strong written communication skills and experience of report and policy writing
• Technical and practical expertise of fund regulations and their application
• Knowledge of the products offered by the firm and the importance of being a regulated firm as applicable to the role is expected
• A good understanding of the FCA’s Senior Managers and Certification Regime and how it applies to the role
• An understanding of the rules, regulations, policies and procedures as set out in the Compliance Manual

For further information please contact Duncan Jeffery