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Compliance Risk Manager

2 months ago

London, Greater London, United Kingdom Compliance Professionals Full time
Compliance Monitoring Analyst

Our client, a leading London-based investment management firm, is seeking a skilled Compliance Monitoring Analyst to join their team. As a key member of the compliance department, you will play a vital role in ensuring the firm's adherence to regulatory requirements and industry best practices.

Key Responsibilities:
  • Collaborate with the front office team, portfolio managers, research analysts, and the finance team to manage compliance relationships and ensure effective communication.
  • Develop, update, and implement the firm's compliance policies and procedures, ensuring they are aligned with regulatory requirements and industry standards.
  • Proactively review the implications and impact of upcoming regulatory changes, providing expert advice to the management team.
  • Lead on day-to-day compliance oversight and monitoring activities, including market soundings, management of the restricted list, and advising on guideline restrictions.
  • Provide compliance input into various projects and initiatives, such as new fund launches and development initiatives.
Requirements:
  • Prior experience in a compliance role within an asset management environment.
  • Strong knowledge of the FCA's regulatory rules as they apply to asset managers.
  • Understanding of the asset management industry, including specific investment asset classes and products.