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Compliance Analyst - Asset Management

Employer
Austin Andrew Ltd
Location
UK
Salary
Competitive
Closing date
21 Jul 2022

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Sector
Legal
Contract Type
Permanent
Hours
Full Time
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Our client , a global asset manager is seeking a highly motivated and skilled individual who enjoys to work in a fast paced small collaborative team with opportunity for personal growth and development.

Key Responsibilities

Maintain legal files and documentation in a bespoke internal system;

Maintain watch and restricted lists

Collate data for regulatory filings

Maintain internal AML/KYC and due diligence information for the Firm and the Funds;

Dealing with incoming documentation and AML/KYC requests from new and existing counterparties;

Assist in account openings (brokerage and custody accounts) including keeping internal documentation up to date (corporate documentation).

Support the head of compliance with the firm's compliance monitoring programme

Keep up to date on relevant regulatory developments

Oversee the firm's record keeping with regards to conflicts of interest, gifts and entertainment, breaches, staff attestations, training and maintaining internal registers

Expert network chaperoning

Qualifications

· Academic qualification (University degree);

· 12 months experience in compliance matters with an asset manager/investment firm;
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