Compliance Analyst

Michael Page International Rec Ltd
London (Greater)
12 Jan 2018
20 Feb 2018
Contract Type
Full Time
A Compliance Analyst position has arisen with a strong focus on Financial Promotions within an excellent Investment Manager.

Client Details

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.

Key Responsibilities

* 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.

Job Offer

A growing investment manager with an excellent package.
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