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Regulatory Policy Specialist

2 months ago

London, Greater London, United Kingdom Compliance Professionals Full time
Compliance Analyst Job Description

We are seeking a highly skilled Compliance Analyst to join our team at Compliance Professionals. The successful candidate will be responsible for ensuring that our client's Asset Management business operates in compliance with relevant regulations and laws.

Key Responsibilities:
  • Manage Front Office System oversight and ensure compliance with regulatory requirements.
  • Conduct pre and post-trade alert analysis to identify potential compliance risks.
  • Develop and implement regulatory disclosures, including Front Office System rule coding for new accounts and investment guidelines.
  • Collaborate with the Business to ensure compliance with the FCA's Senior Managers and Certification Regime.
  • Stay up-to-date with regulatory updates and ensure a detailed understanding of compliance pertinent to the role.
Requirements:
  • Number of years in asset management or comparable financial services roles.
  • Strong written communication skills and experience in report and policy writing.
  • Understanding of the rules, regulations, policies, and procedures as set out in the Compliance Manual.

This is an exciting opportunity for a Compliance Analyst to join our team and contribute to the success of our client's Asset Management business. If you are a motivated and detail-oriented individual with a passion for compliance, we encourage you to apply.