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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. As a key member of our compliance team, you will play a critical role in ensuring our client's Asset Management business operates within the bounds of regulatory requirements.

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 your work.
Requirements:
  • Number of years in asset management or other comparable financial services roles.
  • Strong written communication skills and experience of 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 motivated and detail-oriented individual to join our team and contribute to the success of our client's Asset Management business.