Description

COMPLIANCE ADVISORY & MONITORING - BUY SIDE COMPLIANCE MONITORING EXPERIENCE REQUIRED

Ref: 4204G

£40K - £55K + Bonus & Bens Hybrid (1d pw WFH) London

Our client, an investment management group, is recruiting a Compliance Analyst to join their dynamic and collegiate compliance team.While you will predominantly be carrying out monitoring you will also be tasked with compliance advisory and other generalist compliance duties, offering a broad and interesting role. Reporting to the Deputy Head of Compliance, duties will include:

1. Carrying out ongoing monitoring as per the Compliance Monitoring Programme
2. Identifying risks and producing management information (MI) in accordance with the periodic reporting schedule.
3. Identifying and escalating breaches and ensuring these are correctly logged and cleared as appropriate.
4. Carrying out periodic compliance reviews.
5. Involvement with Compliance projects as directed by the Deputy Head of Compliance.
6. Assisting with the delivery of the business plan for the Monitoring team and contributing to meeting team objectives
7. Enhancing own understanding of regulatory landscape and taking learning opportunities that are offered
8. Assisting with compliance advisory across the business as directed.
9. Assisting with generalist compliance duties as directed.

You should have at least 18 months experience of compliance monitoring of asset/fund management or else wealth management, either from another regulated firm or a compliance consultancy. While a good and burgeoning understand of the FCA rules is required, as important will be your self- initiative and proactive approach to work.

This is a great opportunity to build on your monitoring experience while taking on broader Compliance generalist and advisory duties, with a well-established and respected Global Asset Manager.

If this sounds like your next career move and would like to know more, please email your CV to

mailto:[email protected]
(including a contact number & email) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. 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.