Asset Management - Compliance Analyst
Asset Management - Compliance Manager
Opportunity to join a successful and growing Asset Manager with over £1bn AUM and take the lead on all day to day compliance activities while also being fully involved in strategic actions around regulatory change projects.
Working with a small firm this is a chance to see all areas of Compliance as the company continues to grow, both organically and potentially through acquisitions.
The role will include but is not limited to:
- Development of Compliance Monitoring plan and execution of reviews, including follow-ups
- Approval of financial promotions
- Carry out required product oversight for all regulated funds
- Assistance with the preparation of quarterly compliance reports
- Organisation of on-going compliance training (provided by third party)
- Keep up to date with regulatory changes and assess the impact of these on the business - feeding this back to Board and agreeing required actions
- Provide advice around AML issues and particular client cases
- Manage third party reviews of the business - Regulators, OEIC manager etc.
- Various ad-hoc projects (MiFID II)
- Knowledge of regulations pertaining to the private client asset management industry is essential
- Minimum of two years’ experience in compliance
- Must be a strong communicator (both written and oral) and able to work directly with Board level stakeholders
- Must be flexible in terms of tasks - this is a small office and there will be the need to assist on individual issues regularly
In return there is a very attractive package and plenty of opportunity to develop a thorough understanding of all key compliance issues within the Asset Management arena, as well as growth within the role.