Description
Compliance, pensions, investment management, fsa, regulatory
Compliance Analyst to ensure that high standards of checking and review monitoring are delivered within a Portfolio Monitoring Project for a Private Bank. Responsible for analysing a backlog of client files and reviewing products sold in respect of FSA suitability and regulatory requirements, looking into any MIS-selling, reviewing client files, analysing documentation to ensure the portfolio meets the needs of the clients, ensuring procedures follow compliance with the FSA rules, particularly relating to conduct of business, co-ordinate processes and produce MI and appropriate reports documenting the results of the review, undertake any specific compliance and business tasks.
The JM Group is acting as an employment agency with relation to this vacancy.