Compliance Analyst

  • GBP40000 - GBP50000 per annum
  • London, England, United Kingdom
  • Temporary, Full time
  • Michael Page
  • 13 Sep 17

To support the global Compliance Monitoring team in providing a robust second line of defence review of the controls and processes operated by the Group in the first line of defence, thus ensuring the Group continues to satisfy the regulatory requirements as stated by the relevant regulator.

My client is a full-service, pure-play asset management group, focused on meeting the worldwide investment needs of institutions, private investors and the advisers who serve them.

They manage investment across the full spectrum of asset classes and geographic markets - including equities, fixed income, property and alternative assets.

Based in or close to the markets in which they invest, they are dedicated to first-hand research to deliver the investment returns that enable their clients to achieve their financial goals.

Description

To fully complete periodic compliance monitoring reviews assigned in a timely manner, specifically within the quarter in which it falls due and the time-lines noted in the Terms of Reference (ToR), and to a consistent and high standard in accordance with the methodology in place; in particular:

  • all documentation to follow the standard templates;
  • working papers are completed to a sufficient depth, and findings raised are based on the results of substantive testing and effective challenge;
  • all testing performed is done in order to confirm compliance with applicable FCA/PRA regulation and Group/local policies and can be demonstrated as such;
  • that all draft ToRs and reports are reviewed by the Global Head of Compliance/Local Head of Compliance or designated person before issuance to the business; and
  • that key milestones are accurately and promptly recorded on the tracker.Regular (daily) transactional-type monitoring e.g. investment guideline monitoring is not within the remit of the Compliance Monitoring Team although it may form part of the scope of relevant thematic reviews (as applicable).

Profile

  • Strong UK regulatory knowledge and understanding
  • Strong product knowledge within an Asset Management environment
  • Strong communication skills (both written and verbal)

Job Offer

Great working environment.

Gain knowledge of different aspects of asset management.