Compliance Analyst - Investment Management Compliance Analyst - Investment Management …

Ad Idem Consulting
in London, United Kingdom
Permanent, Full time
Last application, 23 Oct 21
£40,000
Ad Idem Consulting
in London, United Kingdom
Permanent, Full time
Last application, 23 Oct 21
£40,000

Client:

Our client, a global investment manager with offices in the UK, Europe and Asia, is looking to hire a Compliance Analyst to join their London team. The successful candidate will be responsible for assisting in the running of the compliance monitoring programme.

You will report into the Compliance Manager and will provide support and assistance relating to the compliance monitoring programme.

Responsibilities include:

  • Monitoring suitability of clients and investments
  • Ensure new clients onboarding is in line with Regulatory policies and procedures
  • Undertake client file reviews on existing clients, which includes reviewing client classification, advice events and suitability
  • Monitoring and resolution of automated AML and KYC alerts
  • Monitoring of activity on client accounts including cash movements
  • Monitoring of the Compliance mailbox
  • Other support - other responsibilities as determined by the Compliance Manager

Your profile:

  • 1-2 years’ experience in an equivalent role within financial services, preferably in asset/wealth management
  • Excel proficiency essential (macros & vlookups req’d), as well as being proficient in Word and PowerPoint
  • Some understanding of relevant FCA regulations and how they apply in practice, especially AML, CFT and Sanctions experience

 

For more information, or to apply, please get in touch with Jon Pettet on 07803 355 726 or jon@adidemconsulting.co.uk 

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