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Compliance Risk Management Specialist

2 months ago

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

**Compliance Monitoring Analyst**

We are seeking a highly skilled Compliance Monitoring 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 firm's compliance with regulatory requirements and industry standards.

Key Responsibilities:

  • Assist in managing compliance relationships with the front office team, portfolio managers, research analysts, and the finance team.
  • Develop, update, and implement the firm's compliance policies and procedures.
  • Proactively review the implications and impact of upcoming regulatory changes.
  • Assist in/lead on the day-to-day compliance oversight and monitoring activities of the firm, including market soundings, management of the restricted list, advising on guideline restrictions, conflicts of interest, financial promotion approvals, client classification, and research.
  • Provide compliance input into a range of projects/initiatives, including new fund launches and other development initiatives.

Requirements:

  • Prior experience of a compliance role within an Asset Management environment.
  • A good knowledge of the FCA's regulatory rules as they apply to asset managers.
  • Understanding of the asset management industry and specific investment asset classes and products.