Compliance Risk Analyst

3 days ago

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

Compliance Professionals is seeking a highly skilled Compliance Analyst to join our team. As a Compliance Analyst, you will play a critical role in ensuring the company's compliance with regulatory requirements and industry standards.

Key Responsibilities:

  • Manage and oversee front office systems to ensure compliance with regulatory requirements.
  • Process and analyze wall crossings and front office system list updates to identify potential compliance risks.
  • Conduct pre- and post-trade alert analysis to ensure compliance with regulatory requirements.
  • Prepare and submit regulatory disclosures, such as TR1s, short disclosures, and takeover panel disclosures.
  • Coding for new accounts and/or new investment guidelines to ensure compliance with regulatory requirements.
  • Manage the Change in Control process for the business to ensure compliance with regulatory requirements.
  • Ensure compliance with the FCA's Senior Managers and Certification Regime, including adherence to the Conduct Rules.
  • Stay up-to-date with regulatory updates and ensure a detailed understanding of compliance pertinent to the role.
  • Communicate openly and transparently with clients and colleagues.
  • Ensure that the interests of clients are prioritized wherever possible.
  • Identify and manage risks to the firm and its clients, and communicate changes to relevant stakeholders.

Requirements:

  • Experience in asset management or other comparable financial services roles.
  • Strong written communication skills and experience in report and policy writing.
  • Technical and practical expertise in fund regulations and their application.
  • Knowledge of the products offered by the firm and the importance of being a regulated firm as applicable to the role.
  • A good understanding of the FCA's Senior Managers and Certification Regime and how it applies to the role.
  • An understanding of the rules, regulations, policies, and procedures as set out in the Compliance Manual.

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