Compliance and Governance Expert

1 day ago


London, Greater London, United Kingdom Compliance Professionals Full time
About the Role

We are looking for a talented Compliance Analyst to join our team in London. As a key member of our compliance function, you will be responsible for ensuring that our business operations are compliant with relevant regulations and laws.

Estimated salary: £50,000 - £70,000 per annum.

Key Responsibilities
  • BEST Execution Outlier Monitoring and Improvements using LiquidMetrix
  • Investigating Market Abuse Escalations, with initial case loads outsourced
  • Bloomberg Vault Communications Monitoring and Escalation Point
  • Providing Committee MI on Market Abuse
  • Market Soundings and Gatekeeper Processes
  • Regulatory Disclosures - Major Shareholding, Takeover Panel, Short Positions
  • Fund Manager Change in Control Checks
  • PA Dealing and Gifts & Hospitality Approvals
  • Broker Take-on Process
  • Compliance Monitoring Thematic Reviews as Required
  • Project Work as Required
  • Supporting Investment Guidelines Daily Work and Projects as Required
Requirements
  • Number of years in asset management or comparable financial services roles
  • Strong written communication skills and experience of report and policy writing
  • Technical and practical expertise of fund regulations and their application
  • Knowledge of products offered by the firm and importance of being a regulated firm as applicable to the role
  • Good understanding of FCA's Senior Managers and Certification Regime and how it applies to the role
  • Understanding of rules, regulations, policies, and procedures as set out in Compliance Manual


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