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Compliance Risk Analyst

2 months ago

London Area, United Kingdom Compliance Professionals Full time

Company Overview

Our client is a leading Asset Manager based in London who currently has a significant asset under management. They are seeking a Compliance Analyst to join their team on a 12-month fixed-term contract.

Key Responsibilities

  • Oversee and manage Front Office System operations to ensure compliance with regulatory requirements.
  • Manage wall crossings and Front Office System list updates to maintain accurate records.
  • Analyze pre and post-trade alerts to identify potential compliance issues.
  • Prepare and submit regulatory disclosures, such as TR1s, short disclosures, and takeover panel disclosures, in a timely manner.
  • Develop and implement Front Office System rule coding for new accounts and investment guidelines.
  • Manage the Change in Control process for the Business to ensure compliance with regulatory requirements.
  • Adhere to the Conduct Rules and 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 relevant to the role.
  • Communicate effectively with clients and ensure their interests are prioritized.
  • Identify and manage risks to the firm and its clients, and communicate changes to relevant stakeholders.

Requirements

  • Experience in asset management or a comparable financial services role.
  • Strong written communication skills and experience in report and policy writing.
  • Technical expertise in fund regulations and their application.
  • Knowledge of the products offered by the firm and the importance of being a regulated firm.
  • A good understanding of the FCA's Senior Managers and Certification Regime and its application to the role.
  • Familiarity with the rules, regulations, policies, and procedures outlined in the Compliance Manual.