Compliance Monitoring Analyst (FTC) - Asset Management

13 Apr 2018
21 May 2018
Contract Type
Full Time

The Client

A well established and highly successful Wealth/Investment Manager, who provides services in the UK and internationally, are seeking to recruit a Compliance in their London office.

The Role

The role will be reporting to the Head of Compliance Monitoring and you will be responsible for:

  • Assisting with the delivery and implementation of the Compliance Monitoring Plan
  • Conducting thematic reviews and other compliance monitoring activities
  • Liaising with relevant business stakeholders regarding compliance monitoring findings
  • Producing written compliance monitoring reports
  • Assisting in ensuring that departmental procedures are kept up to date
  • Complying and adhering to rules and regulations as stated by the regulator and set out in our internal policies and procedures
  • Being personally accountable to identify and minimise or escalate risks when identified in line with our Group risk policy
  • Undertaking regular monitoring activities as established by the Compliance Monitoring Plan to ensure compliance with regulatory requirements and to test adherence to internal policies and procedures
  • Liaising with relevant staff/business managers to ensure that compliance monitoring findings are discussed and the timeframes for the completion of any remedial actions are agreed
  • Escalating any significant issues, weaknesses or outstanding action items to the Head of Compliance Monitoring
  • Preparing compliance reports and MI for distribution to Compliance & Risk Committee and business committees

Key Requirements

  • 2-3 years of relevant Compliance Monitoring experience in Asset or Investment Management environment
  • Educated to degree level and/or relevant industry qualifications desirable
  • Familiarity with FCA Handbook
  • Knowledge of COBS, MAR, COLL, FUND, SYSC would be advantageous
  • Thematic review experience is desirable
  • Report writing
  • Excellent organisation skills, methodical, efficient and able to work to close deadlines
  • Good communication skills, written and verbal

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