Compliance Analyst

  • £55,000 - £75,000 + package + discretionary bonus
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • MERJE Ltd
  • 21 Aug 18 2018-08-21

The role is with a multi-national asset management firm with Headquarters in London. Their customers include individual savers and investors, members of pension schemes and life insurance policyholders. The company currently manages over £350 billion of customer assets in investments including bonds, equities, infrastructure, property, alternatives and cash.

The Role

Working as a part of the investment compliance team you will be directly responsible for providing professional and timely Compliance advice to the investment management business in a clear and constructive manner, ensuring that the business understands its regulatory and legislative responsibilities. While reporting directly into Investment Compliance Advisory Manager, your responsibilities will include:

  • Providing advice and support to the business in relation to institutional product regulation
  • Regulatory rule interpretation as well as advising on UK regulatory requirements and the FCA Handbook (e.g. SYSC, COBS, MAR, SUP, US Investment Advisers Act etc.)
  • You will be working closely with the Regulatory Development team on regulatory changes with a markets/trading focus as well as advising the front and back office on transactional regulation and market facing issues
  • You will need to be able to advise the business on MiFID II and EMIR requirements and other markets/trading related matters
  • Supporting a range of regulatory change projects and business changes projects which have regulatory impacts
  • Technical input with regards to the development of regulatory training (e.g. market abuse, information barriers, conflicts of interest)

Key Requirements

  • University degree and/or relevant industry qualification
  • Minimum of 2-5 years working experience of regulatory compliance experience within either Asset/Fund or Investment Management business
  • Knowledge and awareness of US, UK and European regulatory environment and their impacts on a UK based fund manager
  • Knowledge and experience of Financial Promotions or Monitoring Compliance is a benefit
  • You will
    • Be a self-starter, high levels of initiative and a strong work ethic
    • Able to analyse complex and evolving positions and ability to express regulatory concepts in a clear and concise manner
    • Have strong communication skills
    • Be commercially aligned with a can-do attitude and pragmatic approach to the provision of advice
    • Be a team player, supportive, with a collegiate approach