Compliance Monitoring Analyst

2 weeks ago

London, United Kingdom Focus Search and Selection Full time

My client is one of the most well-known responsible and sustainable investment providers in the UK, and they are looking for a Compliance Analyst to join their existing team which will report directly into the Head of Compliance.

You will support the Compliance Team in ensuring my clients regulated activities follow the necessary rules and regulations, by providing compliance support and expertise within established guidelines. Specific responsibilities include monitoring and assistingthe business to identify and resolve issues in a timely manner taking into account internal guidelines and outside regulatory requirements.

**Main Responsibilities**
- Undertake compliance monitoring and ensure associated documentation is full, accurate and up to date
- Recording and monitoring of Incidents and Breaches
- Follow up and close out action
- Maintain and update compliance policies, procedures, manuals and registers as appropriate
- Review and monitor employee disclosures regarding personal trading and outside business activities
- Assist with the review / approval of marketing materials prior to publication
- Proactively identify trends in recurring compliance violations
- Completion of ad-hoc thematic reviews
- Report writing / providing MI to the EdenTree Senior Management
- Assist with oversight of outsourced functions (Fund Accounting / Transfer Agency / Investment Dealing and Custody)
- Assist with planning and implementation of regulatory changes and other ad hoc tasks

**Necessary Skills / Experience**
- Analytical and attention to detail
- Good communication & report writing skills
- Knowledge of market trading practices
- Knowledge of UCITS rules / OEIC Regulations
- Knowledge of NURS / AIFMD rules
- Knowledge of CASS rules
- Knowledge of FCA Reporting and Senior Manager Regime
- Experience of Bloomberg, Charles River and Complyport - desirable

In return you will be offered a salary of £50,000 to £70,000, plus a generous benefits package and bonus structure.

Please note that our client is an equal opportunities Employer and adheres to all relevant legislation and offer services regardless of age, race, sex, disability or religious belief.

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