Compliance Analyst

Michael Page Banking and Financial Services
London (Greater)
14 Apr 2018
14 May 2018
Contract Type
Full Time

To assist the firm's clients to develop, expand and grow in a compliant manner and with an appropriate culture.

Client Details

Our client is an Investment Manager and is currently a team of 5. They run a regulatory umbrella and help fund managers, wealth managers and platforms develop their businesses.


- Monitor regulation and compliance of the firm's clients - both appointed representatives and trading names.
- Build solutions for a variety of client types.
- Contribute to robust and effective compliance controls within both the firm and the firm's clients.
- Review client marketing materials, presentations and websites to ensure compliance with regulatory requirements.
- Perform risk assessments to understand the level, significance and scope of risk within the firm's clients.
- Ensure day to day operations of the firm's clients meet the required standards.
- Educate employees in client companies on the correct way to operate as well as raise any areas of concern.
- Undertake periodic client reviews.
- Keep abreast of developments in the regulation and compliance space.


Must have:

  • Experience in compliance within Financial Services
  • Good understanding of key FCA regulations: MiFID II, AML, MAR, etc.
  • The desire to want to work in a small company and face off to different clients.

Job Offer

An amazing opportunity to get a wealth of exposure to Compliance and regulations.

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