Compliance Analyst
3 days ago
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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