Compliance Analyst - Asset Manager

Michael Page Banking and Financial Services
London (Greater)
10 Jan 2018
09 Feb 2018
Contract Type
Full Time

The primary focus of the role will be to assist in developing the local risk based compliance monitoring programme. The role includes providing oversight of the UCITS investment restrictions for certifunds and advice to the business on UCITS eligibility questions.

Client Details

One of the world's largest independent investment management firms.


    • Assist the Compliance Officer in identifying rules in force relevant to regulatory risk assessment.
      • Undertake monitoring; prepare and issue reports of the testing and results and escalate as necessary, including to the relevant boards and committees; and assist in the design and implementation of future reviews.
        • Assist with the provision of advice and training to the global business.
        • Review & maintenance of compliance policies, practices, structures & procedures
        • UCITS eligibility and compliance
          • Maintain regulatory related registers, e.g. Breach, conflicts, PAD


          The successful candidate is likely to:

          * Have a strong academic background;

          *Relevant compliance experience, ideally gained at another Asset Management firm. Experience of working with/supporting fund activities is strongly preferred;

          * Demonstrate strong compliance knowledge.

          Job Offer

          Competitive package.

          This job was originally posted as