Compliance Analyst

Recruiter
Goodman Masson
Location
Farringdon
Posted
16 May 2018
Closes
19 Jun 2018
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time

Key Responsibilities: (in order of importance, list major activities performed in the role)
GENERAL:
 Assist the CO to meet FCA and SEC regulatory compliance requirements including AIFMD obligations and adhere to all other applicable overseas regulatory requirements.
 Assist the CO to conduct duties as MLRO, ensuring that the firm's anti Money Laundering procedures are regularly reviewed and updated as appropriate.
 Report any issues of compliance to the CO as quickly as possible, in particular any breaches.
 Develop and maintain Origin's Compliance Manual.
 Assist the CO to organise compliance training for all partners and staff.
 Assist the CO to compile compliance related responses for RFPs/DDQs
 Liaise and develop working relationships with parent group compliance department including regular reporting requirements via the Ascendant Compliance web portal.
 Monitor regulatory sanctions and implement where appropriate.
 Monitor group and company conflicts with staff.
 Work with external compliance advisors of Origin on ad hoc matters and projects.
DAILY
 Review pre & post trade portfolio investment guidelines and restrictions reports in thinkFolio to check for warnings or breaches.
 Compliance review and approval of marketing presentations.
WEEKLY
 Review post trade compliance mandate checks reports produced by Operations team.
 Review Origin's financial promotions to ensure their compliance with COBS.
MONTHLY
 Assist CO to prepare monthly Compliance Report to submit to Parent Company.
 Prepare monthly client compliance related certifications.
 Prepare monthly AML reporting and submit to Ontario Securities Commission.
 Update FinScan client list for OFAC Screening purpose.
 Update counterparty credit ratings for Risk Management purposes.
 Analyse and report findings on best execution as per Mifid II guidelines.
 Prepare and document the compliance monitoring programme including testing. Submit to CO for review and approval.
 Assist CO to check FCA Financial resource requirements are being met.
 Assist CO to review and approve monthly commentary for all strategies.
QUARTERLY
 Assist to carry out FCA filings, including populating information for Annex IV reporting.
 Prepare monthly 13F holdings filing and submit to SEC.
 Review and approve quarterly Presentation and Factsheet.
 Assist the CO to respond to quarterly Client/Consultant questionnaires and attestations.
SEMI ANNUAL & ANNUAL
 Assist the CO to carry out FCA filings, including for Annex IV and financial reporting.
 Assist the CO to carry out SEC filings, including Annual ADV (Part 1 and 2) and Form PF.
 Assist the CO to respond to annual Client/Consultant questionnaires and attestations.
OTHER
 Review all manuals and documentation of procedures on an on-going basis with CO to ensure that they are appropriate and up-to-date and reflect current best practice, as far as is practical.
 Assist the CO with ad hoc business projects as directed (e.g. setting up new funds).
 Attend compliance seminars and conferences as appropriate.
CANDIDATES - PREFERRED ATTRIBUTES AND ABILITIES  Display self-motivation and drive by looking to improve compliance standards within the business areas.  Excellent level of English language.  Excellent communication skills (both verbal and written).  Good level of knowledge of FCA, SEC and EU (e.g Mifid II) regulatory requirements.  Educated to degree level or equivalent (2.1 minimum).  Relevant Compliance Qualification or law degree.  Minimum 3-5 years' experience in investment business compliance.  Ability to work within a team as well as independently.  Ability to work to tight deadlines.  Ability to raise and communicate complex issues accurately and succinctly to personnel at all levels.

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