Compliance Analyst - Asset Management

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.

Essential:

-At least 12months Regulatory Compliance experience within Asset Management