Compliance Analyst - Asset Management

Recruiter
Carnegie Consulting
Location
London, United Kingdom
Salary
GBP50000 - GBP70000 per annum
Posted
29 Jul 2022
Closes
28 Aug 2022
Ref
16114339
Job Function
Other
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
This role will support the compliance team in ensuring the firm stays true to its ethos of best practice investing.

Specific responsibilities will include monitoring events and identifying possible issues before they become problematic issues!

The Role

  • Undertake compliance monitoring and ensure associated documentation is full, accurate and up to date;
  • Recording and monitoring of Incidents and Breaches
  • Follow up and close out action points identified through the compliance monitoring process;
  • Maintain and update compliance policies, procedures, manuals and registers as appropriate;
  • Review and monitor employee disclosures regarding personal trading and outside business activities;
  • Assist with the review / approval of marketing materials prior to publication;
  • Proactively identify trends in recurring compliance violations;
  • Completion of ad-hoc thematic reviews;
  • Report writing / providing MI to the Senior Management;
  • Assist with oversight of outsourced functions (Fund Accounting / Transfer Agency/ Investment Dealing and Custody);
  • Assist with planning and implementation of regulatory changes;


The Candidate

2-3 years Compliance experience, specifically in the following:
  • Knowledge of market trading practices;
  • Knowledge of UCITS rules / OEIC Regulations;
  • Knowledge of NURS / AIFMD rules;
  • Knowledge of CASS rules
  • Knowledge of FCA Reporting and Senior Managers Regime Regime;


If you don't have this experience, then I'm afraid you are not right for this position

Experience of Bloomberg, Charles River and Complyport is desirable

This role is based in the London HQ and the candidate will be expected to be able to commute in the office 3-4 days a week.

There is no visa sponsorship for this position

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