Compliance Analyst – Asset Management
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.
- 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
- 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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