Compliance Analyst

Location
Surrey
Salary
£40K-£50K + Bonus & Benefits
Posted
21 Feb 2018
Closes
18 Mar 2018
Ref
C120
Contract Type
Permanent
Hours
Full Time
Travel
None

Our client is an Asset Management firm based in Surrey. They are looking for a Compliance Analyst to join their team in a broad and varied role.

Main Responsibilities:

  • Review and assess money laundering referrals for both private client and Funds business, as necessary
  • Assist with implementation of the numerous Policies and Procedures relating to Financial Crime
  • Check the investment & borrowing powers updates to the fund Prospectuses in line with COLL and FUND and other relevant regulations as appropriate
  • Assist in the analysis of the impact and implementation of new regulatory rules and guidelines.
  • Conduct review, investigation and analysis of breaches for both regulated entities including investment and borrowing breaches
  • Assist due diligence reviews of Third Party outsourced providers including investment managers, custodians and transfer agencies
  • Review financial promotions

Job Requirements:

  • At least 18 months compliance experience, including AML, with an asset management firm.
  • Compliance testing/monitoring experience
  • Good communicator with excellent oral and written skills.


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