Description
Compliance Analyst - London
Job Summary:
The Compliance Analyst will work as part of the Central Compliance and Policy team and a wider Compliance team to provide high quality compliance support to the LGIM(H) regulated entities undertaking Central Compliance functions (regulatory registrations, Conflicts of Interest, Complaints, Compliance policy updates, code of ethics records, etc.), management information reporting, some advisory support and carrying on ad hoc Compliance projects.
The Analyst will be expected to provide support with producing and delivering a strong policy framework, supporting the firms' identification and management of conflicts of interests, maintaining records related to the Code of Ethics (Personal Account Dealing, Gifts and Entertainment, Inducements, etc.), helping with the oversight of Complaints and producing high quality management information. The Analyst will also be expected to help with the implementation of any new Compliance systems (Code of ethics record keeping and workflow management).
The Analyst will also need to keep up to date with emerging regulatory issues and risks and understand the businesses under scope in order to identify the impact on processes and policies.
Additionally the Analyst will provide support in the delivery of other regulatory processes such as reporting to boards and committees, regulatory approvals and waivers, regulatory engagement and regulatory enquiries responses.
Key Responsibilities
*Maintaining records related to the Code of Ethics (Personal Account Dealing, Gifts and Entertainment, Inducements, etc.).
*Supporting the firms' identification and management of conflicts of interests
*Assisting the Compliance Manager in the periodic review of departmental policies and procedures and rolling them out across the business together with updates to dedicated Computer Based Training modules.
*Help produce clear and to-the-point management information for various groups, committees and team meetings.
*Responsibility for the processing of regulatory registrations and provide support in the delivery of other regulatory processes such as, regulatory waivers, regulatory engagement and regulatory enquiries responses.
*Maintain detailed knowledge of relevant rules and legislation, analyse developing regulation for impact on the businesses under scope, work with business areas to meet any new regulatory requirements.
*Take responsibility for allocated compliance projects, and represent the Compliance team in business meetings as required.
*Engage with other team members and favour cross training, exchange of information and collaboration.
*Assisting the Compliance Managers and wider compliance team, with ad-hoc requests
Skills:
* Good analytical skills and industry awareness including of emerging regulation to identify the impact on the business areas and developing strategies and ability to work proactively with business areas to meet all new regulatory requirements.
* Ability to demonstrate a proactive approach while contributing to the development and implementation of a comprehensive policy framework which reflects relevant regulatory requirements impacting the business.
* Good knowledge of compliance in an asset management context.
* Demonstrate high attention to detail and ability to work effectively, both individually and within a team.
* Ability to work with other compliance team members and business colleagues to promote a good compliance culture so that regulatory expectations are exceeded.
* Demonstrate excellent written and verbal communication skills to ensure high quality delivery of management information and presentation in meetings and other forums where the Compliance Analyst will represent Compliance.
* Ability to work efficiently with other team members and senior compliance managers to successfully support the Compliance function and Compliance projects, by proactively developing effective and efficient methods and tools to manage compliance workload and supporting/covering fellow team members on an ad hoc basis.
* Demonstrate ability to maintain effective relationships with management and external parties, such as suppliers and outsourcers, to enable the delivery of practical solutions to problems or the implementation of improved systems, processes or controls.
If you haven't received a response regarding your application within 48hrs, then unfortunately you've been unsuccessful on this occasion.
Applicants should show all relevant skills on their CV.
Please send CVs for a quick response to: (see below)
Hy-phen Limited is acting as an Employment Business in relation to this vacancy.
The Adecco Group UK & Ireland is an Equal Opportunities Employer.