Compliance Analyst – Asset Management

Recruiter
CLARC Recruitment Limited
Location
Surrey
Posted
13 Sep 2018
Closes
14 Oct 2018
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time

An Asset Management firm based in Surrey is looking for a Compliance Analyst to join their team in a broad, generalist compliance role. An excellent opportunity for a candidate who could be looking to lose the daily grind of commuting to London.

Main Responsibilities:

  • Review and maintenance of the financial crime framework against AML, MAR, 4AMLD and JMLSG requirements.
  • Assist with the implementation of all Policies and Procedures relating to Financial Crime.
  • Review the investment & borrowing powers updates to the funds’ Prospectuses in line with COLL and FUND and other relevant regulations
  • Review financial promotions and other materials produced by the Marketing Department
  • Carry out the compliance monitoring testing to provide assurance to the business that policies and procedures are being followed
  • Ad hoc projects as and when required

Job Requirements:

  • At least 4 years generalist compliance experience, with a strong financial crime knowledge base.
  • Asset management experience is preferable or at least a strong interest in this sector.
  • Confidence and gravitas to deal with all levels of staff throughout the business.

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