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Compliance Oversight Analyst

Obscurant Recruitment Solutions Ltd
Bolton Le Sands, UK
Closing date
28 Jan 2021

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Job Details

HM1111a - Compliance Oversight Analyst

Working remotely with onsite audit visits

Salary up to £40,000 depending on experience, plus annual bonus, non-contributory pension, and fantastic benefits and career development.

As business continues to grow, my client is now seeking Compliance Oversight Analyst with proven Fund Management experience.

You will assist the Compliance Oversight team in implementing an effective external oversight programme, which includes but not limited to investment managers and sponsors and provide regular reporting to the board of directors and senior management.

You will be who will be a trusted business partner with the capacity to get things done, through persuasion, collaboration, and effective communication.

  • Have at least 3 years' compliance experience OR have Fund Operations UCITS/AIFS) experience.
  • Completion OR working towards the Investment Operations Certificate (IOC) - desirable
  • Good knowledge of the regulatory environment in the UK Financial Services sector is highly desirable
  • Knowledge of key relevant regulatory and statutory requirements, in particular COLL/COBS/FUND is highly desirable
  • Ability to work independently, with minimal supervision
  • Able to prioritise & work to strict deadlines and with strong attention to detail
  • Strong written and verbal communication skills
  • Good stakeholder management, at all levels
  • Persuasive by nature with strong influencing skills
  • Good problem solver and numeric skills
  • Good knowledge of Microsoft Excel, Word, and PowerPoint

Candidate Personal Qualities
  • Able to communicate clearly with stakeholders at all levels, both internally & externally
  • Flexible, adaptable approach to an ever changing environment
  • Work collaboratively as part of a team
  • Confident manner both written and verbally
  • Positive attitude with flexibility and able to learn quickly
  • Highly resilient
  • Able to make a positive contribution to both the team and the company

  • You will support the Compliance Oversight Manager in undertaking the monitoring of outsourced functions through desk based monitoring and onsite visits.
  • Provide guidance and support to outsourced functions to ensure they are operating in a manner consistent with the regulations, industry standards and our expectations.
  • Proven experience of preparing regular reports to management on the outsourced functions, in particular highlighting any key risks or areas for concern.
  • Communicate clearly with outsourced investment managers and sponsors in relation to regulatory change and industry standards to ensure any changes impacting have been implemented.
  • Undertake additional projects as and when required
  • Promote a strong compliant culture within the business, attend regulatory training.
  • Assist with the update and maintenance of policies and procedures in relation to the oversight of outsourced functions ensuring that they reflect any regulatory changes or areas identified as high risk.
  • Review and approve customer communications, including financial promotions.
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