Compliance Analyst (12 month FTC) - 18981

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:
Front Office System oversight and management
Wall crossings and Front Office System list updates
Pre and post trade alert analysis
Regulatory disclosures e.g. TR1s, short disclosures, takeover panel disclosures etc
Front Office System rule coding for new accounts and/or new investment guidelines
Change in Control process for the Business
Compliance with those aspects of the FCA’s Senior Managers and Certification Regime which apply to you - including adherence to the Conduct Rules
Take proactive steps to keep up to date with regulatory updates to ensure a detailed understanding of compliance pertinent to your work
Be open and transparent in the way you deal with our clients
Ensure that wherever possible the interests of our clients are put first
Be aware of the risks to the firm, and to its clients, of your actions and responsibilities
Ensure that as these risks change, or new risks arise, these changes are clearly communicated throughout the firm as appropriate
Manage these risks appropriately including involving your line management and the Chief Risk Officer as necessary
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