Compliance Analyst, Asset Management
Salary £35,000 - £55,000 per annum
Consultant Megan Craighead
Date posted 14 July 2022london banking-financial-services/compliance 2022-07-14 2022-09-12 banking London London 16 Palace St GB SW1E 5JD GBP 35000 55000 55000 YEAR Robert Walters https://www.robertwalters.co.uk https://www.robertwalters.co.uk/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
A dynamic, activist investment manager is looking to hire in it's growing compliance team. You will report into the Head of Compliance and have wide exposure across the entire business. They are based in the West End and in the office three days/week.
- Day-to-day compliance monitoring. Conduct periodic compliance reviews within offices; provide reports to Compliance team.
- Ensure that policies, procedures and standards of conduct are communicated, understood and appropriately implemented within the office; deliver training as required
- Develop and maintain strong relationships with U.K. employees and provide appropriate advice on compliance matters; refer issues to Head of Compliance or Chief Compliance Officer as required
- Monitor changes to U.K. legislation and rules affecting the firm's business and advise management and staff of the implications of these changes
- Recommend improvements where appropriate and ensure that compliance manual and policies and procedures are kept up-to-date in light of developing legislation
- Coordinate and participate in any regulatory examinations as needed
- Conduct review and approve KYC files for accuracy and completeness of KYC documentation
- Assist and undertake compliance monitoring, audits and risk assessments.
- Assist the Head of Compliance in maintaining Compliance policies and procedures.
- Assist in Compliance training for new starters
- Maintain records of personal dealing and gifts, benefits and entertainment requests and conflicts of interest
- Assist in the preparation of regulatory reporting returns to the FCA within set timeframes
- Assist in preparation of the risk monitoring reports.
- Prior experience within the investment management industry in a compliance role or similar sector/role is strongly desirable.
- Self-starter with strong execution focus and ability to work independently as well as part of a team
- Good business acumen to identify and connect compliance risks across the organisation
- High level of attention to detail.
- Good organisational and communication skills (both written and verbal).
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