Compliance Analyst – Asset Management

CLARC Recruitment Limited
13 Sep 2018
14 Oct 2018
Contract Type
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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