- London, England, United Kingdom
- Permanent, Full time
- Carnegie Consulting
- 19 Feb 18 2018-02-19
Senior Compliance Monitoring Analyst – Investment Management - 80k My client, a highly respected UK Investment Management firm with international exposure, is seeking to recruit a Senior Compliance Monitoring specialist.
This is an excellent opportunity to join a well-established but growing compliance team, reporting directly to the Head of Compliance but working alongside other Compliance Managers and a number of more junior Compliance Analysts.
The focus of this role is thorough thematic reviews with an emphasis on MiFID II, particularly product governance, transaction reporting and the disclosure of costs and charges to clients,
In addition you will have experience of CASS, Conflicts of Interest, Order Execution Policies and Suitability.
You will have:
• A minimum of 5 years, more likely 7 years as a Compliance Analyst (2 of which in a Compliance Monitoring capacity).
• Your Compliance Analyst experience must be within Investment Management, Wealth Management or Private Banking. Investment banking or any other FS experience will not be sufficient.
• You will be of a diplomatic, none abrasive nature where the ability to get on with the Investment Managers and your colleagues in Compliance is perhaps even more important than your technical skills.
• The more understanding you have of MiFID in the context of Wealth Management the better.