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.
- 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
- 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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