Compliance Analyst

3 weeks ago

Newcastle Upon Tyne, United Kingdom BMC Recruitment Group Full time

**Job description**
- Monitor and assist the business to manage change:

- Proactively monitor and review regulatory developments on a weekly basis, making initialassessments and producing summaries.
- Provide technical advice and guidance on compliance matters.
- Maintain a detailed regulatory change road map with the business, identifying keyworkstreams, actions required, solutions and progress to plan.
- Analyse business/regulatory changes with business owners, produce working papers,perform gap analysis, advise/assist business owners and track key milestones and deadlines.
- Monitor and manage Financial Regulatory Reporting with operational teams across the business
- Maintain compliance risk issue and incident records
- Maintain and administer key compliance policies and procedures
- Prepare MI to be included in Board/Committee reports.

**Skills/experience desirable**
- Good general knowledge of regulated financial services and obligations, preferably from an asset management, management company, investment management or UCITS/retail investment funds perspective in an investment, operations, risk or compliance role.
- Awareness of the regulatory environment for asset managers. Working knowledge of the FCA Handbook and supporting material, including COLL, CASS, COBS and SYSC, ideally as it applies to AFMs and UCITS schemes (Authorised Unit Trusts/OEICs).
- Good organisational skills.
- Able to work accurately with attention to detail and to deadlines, individually and as a team player.
- Positive, self-starting, can do attitude, seeking advice and support where appropriate.
- Numerate. Good verbal and written communication skills, including report writing. Able to engage with people at all levels of the business.
- IT proficient, including Word, Excel, and PowerPoint.

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