AML Compliance Specialist

2 days ago

London, Greater London, United Kingdom Royal Bank of Canada Full time
Opportunity Overview

The Compliance Analyst will join our RBC BlueBay Compliance Advisory team, providing expert advice and guidance on compliance-related matters to RBC BlueBay and day-to-day support to the RBC BB Compliance Advisory UK Team.

Key Responsibilities
  • Support the compliance team in maintaining the Restricted List of issuers on which BlueBay may hold inside information, managing the Restricted List of companies resulting from wall-crossing, pre-sounding of new issues, and new Confidentiality Agreements;
  • Maintain and update policies and procedures on an annual and ad hoc basis to reflect changing business and regulations, including the Front Office Handbook, conflict of interest policies, and other investment-related policies and procedures;
  • Complete periodic compliance certifications for clients in accordance with IMA reporting obligations;
  • Complete periodic compliance reporting for Fund Boards and other Committees;
  • Conduct e-communication surveillance monitoring and highlight any issues to the line manager for further review;
  • Carry out monitoring, testing, and thematic reviews of business areas and highlight any findings to the line manager.
Requirements
  • UK/EU regulatory environment pertaining to asset management firms;
  • FCA Handbook rules impacting the asset management sector;
  • SEC Rule and Regulations impacting the asset management sector;
  • Asset Management business activities and best practice.
What We Offer

We thrive on the challenge to be our best - progressive thinking to keep growing and working together to deliver trusted advice to help our stakeholders succeed, our clients thrive, and communities prosper.

We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

A comprehensive Total Rewards Program including bonuses, flexible benefits, and competitive compensation.

Opportunities to work with the best in the field.

A world-class training program in financial services.

Flexible working options fully supported.

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