Compliance Analyst (12 month FTC)

THE COMPANY:

Our client is a leading Asset Manager based in London who currently have c£5bn AUM. They are looking to hire a Compliance Analyst on a 12 month FTC.

THE RESPONSIBILITIES:

• Front Office System oversight and management
• Wall crossings and Front Office System list updates
• Pre and post trade alert analysis
• Regulatory disclosures e.g. TR1s, short disclosures, takeover panel disclosures etc
• Front Office System rule coding for new accounts and/or new investment guidelines
• Change in Control process for the Business
• Compliance with those aspects of the FCA's Senior Managers and Certification Regime which apply to you - including adherence to the Conduct Rules
• Take proactive steps to keep up to date with regulatory updates to ensure a detailed understanding of compliance pertinent to your work
• Be open and transparent in the way you deal with our clients
• Ensure that wherever possible the interests of our clients are put first
• Be aware of the risks to the firm, and to its clients, of your actions and responsibilities
• Ensure that as these risks change, or new risks arise, these changes are clearly communicated throughout the firm as appropriate
• Manage these risks appropriately including involving your line management and the Chief Risk Officer as necessary

EXPERIENCE REQUIRED:

• Number of years in asset management or other comparable financial services roles
• Strong written communication skills and experience of report and policy writing
• Technical and practical expertise of fund regulations and their application
• Knowledge of the products offered by the firm and the importance of being a regulated firm as applicable to the role is expected
• A good understanding of the FCA's Senior Managers and Certification Regime and how it applies to the role
• An understanding of the rules, regulations, policies and procedures as set out in the Compliance Manual

For further information please contact Duncan Jeffery