Compliance Analyst

3 days ago


London Area, United Kingdom Compliance Professionals Full time

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


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