Senior Compliance Analyst

Courtiers Investment Services Limited
Henley-On-Thames, UK
Closing date
13 Oct 2020

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Contract Type
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·Required to assist in ensuring that the Compliance Monitoring Programme is implemented and all monitoring reviews are carried out according to the CMP schedule

·Responsible for ensuring that the funds are in compliance with the Investment and Borrowing Powers regulations. Daily monitoring of all daily pre- and post-trade compliance checks and for escalating any issues to the relevant departments

·To attend and provide input into the monthly Investment Risk and Oversight Committee (IROC) and prepare the monthly pack

·Responsible for managing and maintaining the errors and breaches register, the internal errors and breaches reporting process, and for reporting relevant breaches to the Depositary

·Responsible for ensuring any recommendations are implemented by the relevant areas of the business in a timely manner and for escalating any related issues to the Head of Compliance

·Responsible for all compliance related Gabriel reporting including AIFMD reporting

·Responsible for reviewing and approving financial promotions and other publications/communications, originating from the Investment Team, to ensure they are compliant with the appropriate FCA regulations (as required) and company policies

·Responsible for ensuring the Funds section of the Courtiers' website remains up to date and that all documentation is current and correctly uploaded onto the website, including all necessary company disclosures

·Updating all fund literature, such as the NURS-KII Document, UCITS KIID, SID, Prospectus and EMT under the direction of the Head of Compliance.

·To maintain the record of and conduct regular reviews of eligible markets

·Responsible for monitoring all internal operational procedures

·Responsible for maintaining all Compliance procedures

·Data protection (including GDPR) issues relating to CAML

·Required to keep abreast of regulatory developments and to alert the Head of Compliance to any issues that are of relevance to the department and business as a whole

·Undertake ad-hoc project work as needed
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