Compliance Assurance Analyst Investment Management Fiduciary

Job type:
on-site
Start:
n.a
Duration:
6 months
From:
Harvey Nash IT Recruitment UK
Place:
London
Date:
01/09/2015
Country:
flag_no United Kingdom
project ID:
831616

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Compliance Assurance Analyst Investment Management Fiduciary

My client is a leading and established asset investment management firm. They require a compliance analyst with relevant industry experience. This is a FCA approved person controlled function. There is also the potential for this role to become permanent after the initial 6 month contract

THE ROLE:

Compliance Assurance (scope - all UK business areas)
-Delivery of Compliance Assurance Plans - carry out compliance assurance reviews scheduled in the Board-approved annual Compliance Assurance Plans for all UK business areas in accordance with agreed procedures for the planning, fieldwork and reporting of each review
-Tracking of Compliance Assurance findings - track the completion of remedial action in relation to significant compliance assurance findings
-Act as a point of contact for the business for all Compliance Assurance queries.
-Management and Board reporting - assist Head of Team in providing regular reporting to UK entity Boards of Directors and relevant executive committees (Group Risk & Compliance Committee, Group Audit Committee) on the progress of work against the Compliance Plan.
-Provide the compliance assurance team with administrative support.

ESSENTIAL SKILLS:

-FCA approved role
-Good understanding of some or all of the Financial Services activities performed (banking, investment management, fiduciary)
-CISI and/or ICA compliance qualifications are desirable but NOT ESSENTIAL