Job Description
THE COMPANY:
Our client is a leading Asset Manager based in London who currently have c£5bn AUM. They are looking to hire a Compliance Analyst on a 12 month FTC.
THE RESPONSIBILITIES:
* Best execution outlier monitoring and improvements (using LiquidMetrix)
* Investigating Market Abuse escalations (we outsource the initial case load)
* Bloomberg Vault Comms monitoring & escalation point
* Committee MI on Market Abuse
* Market Soundings and gatekeeper processes
* Regulatory disclosures - major shareholding, takeover panel, short positions
* Fund Manager Change in Control checks
* PA dealing and gifts & hospitality approvals
* Broker take-on process
* Compliance Monitoring thematic reviews as required
* Project work as required
* Supporting on investment guidelines daily work and projects as required
EXPERIENCE REQUIRED:
* Number of years in asset management or other comparable financial services roles
* Strong written communication skills and experience of report and policy writing
* Technical and practical expertise of fund regulations and their application
* Knowledge of the products offered by the firm and the importance of being a regulated firm as applicable to the role is expected
* A good understanding of the FCA’s Senior Managers and Certification Regime and how it applies to the role
* An understanding of the rules, regulations, policies and procedures as set out in the Compliance Manual
For further information please contact Duncan Jeffery