Senior Compliance Analyst - Asset Management

09 May 2017
08 Jun 2017
Contract Type
Full Time

Our Client

Our client are a reputable Asset Manager and due to continued growth are currently looking to recruit a Senior Compliance Analyst to join their team in London.

The Role

Responsibilities include:

  • Using regulatory knowledge and judgment to provide appropriate resolution to trading issues
  • Developing and enhancing procedures for the business to ensure compliance with regulatory or market developments.
  • Management of the individual registration process for the EMEA region. Maintain up to date records and information on the firm’s licensed individuals
  • Ensuring appropriate policies and procedures are followed to comply with local conduct of business rules
  • Assist with the analysis of changes, and their impact on the firm’s advertising and distributing activities.
  • Providing advice on policy with regards to gifts and entertainment, conflicts of interest, PA Dealing
  • Undertake ad-hoc regulatory projects, surveillance or thematic reviews.

Key Requirements

The ideal candidate will have:

  • Sound knowledge of FCA regulatory framework within an Asset, Fund or Investment Management environment
  • Excellent interpersonal and influencing skills.
  • Able to work under pressure and produce results without close supervision.
  • Good verbal and written presentational skills
  • Attention to detail

A team-worker who must be able to build working relationships and interact with a diverse group of internal and external contacts