Job Overview

Compliance Analyst - Global Asset Management

Location: City of London, London Salary: £60,000 - £75,000 + Benefits
Type: Permanent Contact: Christopher Wood
Posted: 4 months ago

A leading Global Asset Manager is looking for a Compliance Analyst to join their compliance function in London. This role is a generalist compliance role which will offer broad exposure across the business and will see you be involved with the day to day running of the compliance programme, key processes and cover both operational & client facing areas.

The role sits within a small compliance function, reporting into the Head of Compliance and has been created due to the growth the company is currently going through.

Key responsibilities;

  • FCA & other relevant regulatory filings
  • Updating/maintaining compliance manuals, policies & procedures
  • KYC
  • Compliance Monitoring
  • CASS Oversight
  • Reviewing, approving and maintaining registers
  • Coordinating & organising compliance training
  • Financial Promotions/Distribution Compliance
  • Complaints
  • Review & implementation of new regulations
  • Day to day running of the compliance programme
  • Additional ad-hoc tasks

Key skills;

  • 2-3 years asset management experience
  • 3 years minimum compliance experience.
  • Knowledge/experience of how a platform operates.
  • Knowledge/experience of rule books including CASS, COBS, SUP (main ones).
  • Experience of drafting / inputting into Management Information, reports, reviewing risk events/breaches
  • Ability to build strong relationships with internal and external stakeholders
  • Proactive, self-supportive and motivated in the development of a positive compliance culture.

If you are interested in this role, please apply below or contact me for more information. 

Eames Consulting is acting as an Employment Agency in relation to this vacancy.