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.