Compliance Analyst - Investments

London  ‐ Onsite
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Description

Investment Compliance Analyst - 12 month Fixed Term Contract

We are currently looking to recruit a compliance analyst to work for a top invstment company in the UK. This is a broad and varied Investment Compliance role, reporting directly to the Compliance Manager - Investments. They will be involved in all day-to-day aspects of Investment Compliance including projects.

Duties and responsibilities compliance analyst:

  • Assist in the prevention, detection and resolution of investment issues and breaches for all funds and accounts.
  • Develop, manage and monitor automated compliance systems including rule coding and testing. Develop manual monitoring for rules that the system is unable to cover.
  • Perform analysis on new rules and regulations and the impact on the business.
  • Engage with Front Office IT support staff and compliance colleagues to develop reporting and system enhancements to ensure a best in class control environment is maintained.
  • Maintain strong communications with staff in operational and control functions, eg Legal, Investment Operations and Risk.
  • Assist with the trade management monitoring programme for funds and accounts.
  • Review and enhance compliance policies and procedures to reflect current regulatory requirements and in line with business wide changes to processes and workflows.
  • Keep abreast of key regulatory and legislative changes which may impact the business.

Desired Skills & Experience compliance analyst

Experience and Qualifications compliance analyst:

  • Must have Investment Compliance experience including working knowledge of investment compliance monitoring system(s).
  • Experience in the asset management or investment banking industry.
  • Relevant qualification(s) in areas such as accounting, business, risk or compliance.
  • Working knowledge of UK and EU legislation.
  • Exposure to and appreciation of the issues in the management of UCITS and other fund structures.
Start date
ASAP
Duration
12 month
From
Sanderson Recruitment Plc
Published at
14.02.2013
Project ID:
489388
Contract type
Freelance
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