Compliance Analyst, Wealth Management

Recruiter
Hays Financial Markets
Location
London, United Kingdom
Salary
bens/bonus
Posted
16 Sep 2022
Closes
24 Sep 2022
Ref
16882745
Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
One of the UK's largest private client discretionary investment management firms seeks a Compliance Analyst to join its dedicated and progressive team. The business provides services for investors who wish to have their portfolios managed on a bespoke basis. Reporting into the Compliance Manager the role will entail identification and escalation of potential FCA breaches, approval of financial promotions, monitoring of market abuse and provision of regular ad-hoc compliance advice to the business. This is a stable team of established compliance professionals in a business that places integrity at the heart of its operations, seeking a like-minded compliance professional with at least 12 months' experience that encompasses monitoring and surveillance, gained either in the investment management or banking sectors.

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