My client is a London-based boutique Asset Management firm. Due to organic growth they are looking to hire a Compliance Analyst to undertake a very generalist position
Responsibilities include, but not limited to:
- Coordinating the completion of the Compliance Monitoring Plan.
- Undertaking reviews (E.g. best execution, trade processing, transaction costs and fair allocation).
- Providing feedback to senior stakeholders on the outcomes of compliance reviews.
- Creating and amending policies and procedures.
- Working directly with the Investment Team and Fund Accounting Team to ensure that their processes adhere to regulatory requirements.
- Maintaining an up-to-date knowledge of the regulatory developments regarding our funds (AIFs and UCITS).
- Reviewing financial promotions and client communication.
- Assisting in the implementation of SM&CR.
- Monitor pre/post trade compliance.
- Creating the company Business Continuity Policy and monitoring its execution.
-At least 12months Regulatory Compliance experience within Asset Management