Compliance Monitoring Analyst

Michael Page International Rec Ltd
£40k - £50k pa
15 Apr 2017
15 May 2017
Contract Type
Full Time
Remarkable opportunity for an excellent Compliance Monitoring Analyst to become a part of a Financial Services Investment management business in London This role particularly focuses on Compliance Monitoring and AML reporting Role sits in a very small, close knit Compliance function. Client Details European Financial Service Investment Management business A well established business and profile. Excellent growth over the past 30 years, 12 million AUM. Description Compliance Monitoring Analyst will support the Head of Compliance, responsibilities include: * carrying out compliance monitoring against the Global Compliance Manual rules, including, personal account dealing, gifts and entertainment, conflicts of interest and political donations, * producing reports for senior management on compliance monitoring findings, * leading on anti-money laundering (AML/ CFT) checks on investors and on deals, * taking responsibility for the compliance registers, including (i) breach register, (ii) conflicts of interest register, (iii) leaks register, (iv) personal account dealing register, (v) gifts and entertainment register and (vi) political donations register, * submitting FCA and SEC regulatory filings on a timely basis, * assisting with the development of the compliance monitoring programme, * responding to investor queries, and * developing the compliance procedures and policies in accordance with best practice. Profile Ideally the Compliance Monitoring Analyst will have Private Equity or Investment Management experience CASS and SYSC experience would be advantageous A detailed understanding of FCA regulatory rules and standards, including PRIN, SYSC, SUP, CASS, MAR, APER, COBS and PERG; A self-starter who embraces responsibility and can manage their own time; Location: London Job Offer 40.000-50.000