A Compliance Analyst position has arisen with a strong focus on Financial Promotions within an excellent Investment Manager.
Our client is a fast growing investment management partnership.
The role requires an individual to assist with day to day activities and planning for the future within a fast moving organisation. The candidate will develop links across the various departments and external counter-parties assisting in ensuring that all compliance functions are completed accurately, efficiently and in a timely manner.
- Reviewing financial promotions to ensure they are in line with the FCA rules
- Assisting in the review and implementation of regulatory changes, so far as they affect the firm
- Assisting with the compliance monitoring programme
- Assisting with the maintenance of compliance related manuals
- Assisting with FCA related compliance queries from staff
- Carrying out duties in relation to personal account dealing and gifts and entertaining
- Assisting in maintaining the breaches register, the complaints register, the financial promotions register, and the gifts and entertainment register
- Monitoring real time financial promotions, to ensure that they comply with FCA's requirements
The candidate should have compliance experience within financial services.
The candidate should have a good understanding of the financial markets, compliance and be able to demonstrate a commercial awareness in problem solving.
The candidate will have strong organisational and communication skills.
Attention to detail and accuracy are essential for this role.
A legal background is also preferable.
A growing investment manager with an excellent package.
This job was originally posted as www.totaljobs.com/job/79137298