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Compliance Analyst

Banking Operations
United Kingdom
20-06-2022 02:04 PM
Role: Compliance Analyst 
Positions: Permanent 
Salary: £55,000 

Overview of the role:
  • To undertake the compliance monitoring plan in conjunction with and direction from the senior monitoring manager. This will take the form of all daily checks as well as more expansive themed reviews as relevant to the business. This will cover both the UK and European business of the firm.
  • To ensure that such work is completed to a high standard of delivery and accuracy including the maintenance of supporting records and audit trails.
  • To take part in company projects representing the compliance team (new funds, changes to funds) and attend committees of the firm as the compliance representative.
  • To become a “super user” of the new Charles River fund monitoring system and the Subject Matter Expert for usage and functionality. This will include the maintenance of rules accuracy and controls.
  • To contribute towards the delivery of a positive compliance culture within the team and the firm.  
Key skills required:
  • To have an appropriate sector qualification such as CISI or studying towards it.
  • Good school education to A Level standard and degree level if possible.
  • Regulatory compliance knowledge of the asset management industry.UK essential, EU preferable.
  • Auditing of financial services products and supporting functions.
  • Ability to analyse firm systems against regulatory requirements.
  • Technical knowledge of unit trust and OEIC products.
  • Knowledge of other areas of asset management such as financial promotions, distribution of product, fund accounting and registration.
  • Ability to develop strategies to improve adherence to regulatory requirements and departmental procedures and controls. 

Josh Angus

Managing Director

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