Compliance Risk Manager

1 day ago

London, Greater London, United Kingdom Compliance Professionals Full time
Compliance Monitoring Analyst

Our client, a leading London-based investment management firm, is seeking a skilled Compliance Monitoring Analyst to join their team. The successful candidate will play a critical role in ensuring the firm's compliance with regulatory requirements and industry standards.

Key Responsibilities:
  • Collaborate with the front office team, portfolio managers, research analysts, and the finance team to manage compliance relationships and develop policies and procedures.
  • Proactively review regulatory changes and their implications on the firm's operations.
  • Lead day-to-day compliance oversight and monitoring activities, including market soundings, restricted lists, and financial promotion approvals.
  • Provide compliance input on various projects and initiatives, such as new fund launches and development initiatives.
Requirements:
  • Previous experience in a compliance role within an asset management environment.
  • Strong knowledge of the FCA's regulatory rules and their application to asset managers.
  • Understanding of the asset management industry, including investment asset classes and products.

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