Senior Compliance Analyst - Asset Management

Recruiter
MERJE Ltd
Location
London, South East England
Salary
55000.0000
Posted
17 Jul 2017
Closes
16 Aug 2017
Contract Type
Permanent
Hours
Full Time

Our Client

Our client are a reputable Asset Manager and due to continued growth are currently looking to recruit a Senior Compliance Analyst to join their team in London.

The Role

Responsibilities include:

  • Using regulatory knowledge and judgment to provide appropriate resolution to trading issues
  • Developing and enhancing procedures for the business to ensure compliance with regulatory or market developments.
  • Management of the individual registration process for the EMEA region. Maintain up to date records and information on the firm’s licensed individuals
  • Ensuring appropriate policies and procedures are followed to comply with local conduct of business rules
  • Assist with the analysis of changes, and their impact on the firm’s advertising and distributing activities.
  • Providing advice on policy with regards to gifts and entertainment, conflicts of interest, PA Dealing
  • Undertake ad-hoc regulatory projects, surveillance or thematic reviews.

Key Requirements

The ideal candidate will have:

  • Sound knowledge of FCA regulatory framework within an Asset, Fund or Investment Management environment
  • Excellent interpersonal and influencing skills.
  • Able to work under pressure and produce results without close supervision.
  • Good verbal and written presentational skills
  • Attention to detail

A team-worker who must be able to build working relationships and interact with a diverse group of internal and external contacts