Compliance Analyst Compliance Analyst …

Financial Services
in London, United Kingdom
Permanent, Full time
Last application, 26 Nov 20
GBP50000 - GBP60000 per annum
Financial Services
in London, United Kingdom
Permanent, Full time
Last application, 26 Nov 20
GBP50000 - GBP60000 per annum
As a key member of the Compliance team the individual will be required to undertake a varied role and will primarily be responsible for reviewing financial promotions and marketing material to ensure the firm meets its regulatory responsibilities and be responsible for undertaking the Compliance Monitoring Programme.

Our client is an Alternatives Asset Manager.

Description




  • Undertake testing in line with the Compliance Monitoring Programme, working with the business on issues identified to ensure they are reported, and remediation is completed where needed. Review and develop the program to ensure regulatory risks are captured

  • Perform Financial Promotions and marketing review and sign offs and record keeping, ensuring they comply with the FCA regulations

  • Ensure potential conflicts of interest are reviewed and appropriately escalated and recorded

  • Assist with regulatory filings and applications through Gabriel and FCA Connect were applicable

  • Assist in the development of policies and the establishment of reviews of procedures and policies

    where needed

  • Develop relationships with all relevant internal and external parties (such as ACD, custodians and

    various fund boards and committees), to ensure a culture of continuous improvement

  • Be responsible for reviewing, recording and approving day to day compliance requests such as:

    ➢ PA Dealing
    ➢ Gifts and Benefits
    ➢ Outside business interests

  • Assist in the preparation and drafting of various board reports for presentation to senior management and external boards

  • Assist the MLRO by undertaking KYC, identification and sanction screening checks were required

  • Assist with regulatory filings and applications through Gabriel and FCA Connect were applicable

  • Assist the business by providing regulatory guidance where required

  • Stay informed of regulatory developments and how they would impact on the business

  • Carry out other duties and projects as and when required





Profile

You must have experience in the following:

  • Working within Alternatives Investments and therefore have experience working with the Alternatives Investments Fund Management Directive (AIFMD)
  • Reviewing financial promotions and be comfortable signing off on them
  • Compliance Monitoring

Job Offer

Competitive package.

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