Compliance Analyst – Buy side (PA Dealing, Gifts & Entertainment) or Sell side (Control Room) Experience required Compliance Analyst – Buy side (PA Dealing, Gifts &  …

Compliance Recruitment Solutions
in London, United Kingdom
Permanent, Full time, Hybrid
Last application, 20 Jan 22
£40K – £50K + Bonus & Benefits
Compliance Recruitment Solutions
in London, United Kingdom
Permanent, Full time, Hybrid
Last application, 20 Jan 22
£40K – £50K + Bonus & Benefits
Posted by:
David Symes • Recruiter
Posted by:
David Symes
Recruiter
Our client, a leading Alternative Asset Manager, is looking for an experienced Compliance Analyst to join their growing Central Compliance team. Reporting to the Director of Central Compliance and working within a dynamic and collegiate team this will be a broad and multi-faceted role. Duties will include;
  • Assisting the Compliance Director with the identification and management of Conflicts of Interest across the Group
  • Management of personal Conflicts of Interest including Personal Account Dealing, Outside Business Interests, Gifts & Entertainment and Directorships then advising staff and escalating issues as appropriate
  • Oversight of wall crossing procedures & controls and escalating matters of concern as appropriate
  • Assistance with Financial Promotion and Distribution matters as required.
  • Involvement with Central Compliance projects as directed

You must be of graduate calibre with at least 2 years Compliance experience, either from Asset Management including experience of PA Dealing, Gifts & Entertainment and Conflicts or else from Investment Banking with Control Room experience ,now interested in a role in buy side compliance

Our client has also indicated that they would welcome applications from anyone with broader asset management compliance experience looking to return to work after a period of time out.    

This is a great opportunity to join a truly collegiate and global compliance team that proactively develops their staff and promotes from within, offering ongoing career training and development.  So, if you believe you have the breadth of technical knowledge and self-drive to take ownership of this role then please send your CV to Gary Collins gary@symescollins.com.  

 

We are acting as an employment agency in relation to this role. 

Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

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