Description
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