Financial Regulations Analyst
3 weeks ago
We are seeking a Compliance Analyst to join our team in London. The successful candidate will be responsible for monitoring and reporting on compliance-related matters, including BEST execution outlier monitoring and improvements.
Estimated salary: £55,000 - £75,000 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
- 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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