Compliance Analyst
Found in: Talent UK 2A C2 - 2 weeks ago
MERJE are working with a boutique Funds business in their search for a Compliance Analyst in London.
Reporting into their UK General Counsel & Chief Compliance Officer, the individual will be expected to be involved in a broad range of tasks:
- Engaging in strong compliance relationships with the front office team, portfolio managers and research analysts.
- Provide technical advice to the business on key FCA regulatory requirements.
- Updating and managing the firm’s compliance policies and procedures.
- Maintaining employee certifications in accordance with the FCA’s Senior Management Certification Regime.
- Compliance oversight and monitoring activities of the firm (management of the restricted list, advising on guideline restrictions, conflicts of interest, financial promotion approvals)
- Providing compliance input on a range of projects & new fund launches
Ideal background & experience:
- 2-3 years of relevant Compliance experience gained in a Fund or Asset Management environment.
- Strong engagement skills with the ability to engage proactively with portfolio managers, and colleagues at all levels.
- Good knowledge of the FCA’s regulatory rules
- Strong academic background (relevant compliance qualifications such as CISI desirable).
- Strong organisational skills
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