Investment Compliance Analyst

The Investment Compliance Analyst - FTC will support the Head of Operational Risk and Compliance with the provision of compliance advice and support to the investment / fund management and business development teams within the Firm.

Client Details

UK Asset Manager looking to add to their Investment Compliance function.

Description

• Review and sign-off of investment financial promotions and related materials, including review of associated procedures.
• Attendance at the Investment Risk meetings and Compliance governance committees, including assembly of the pack and recording the minutes.
• Conduct new joiner compliance inductions and deliver regulatory training where required.
• Participation in SMCR oversight, including training and competence oversight (for Investments, Funds, Research, Business Development and Dealing teams)
• Awareness of new regulatory requirements and working with the business to develop and implement compliant solutions.
• Work in partnership with the business to improve processes and procedures to mitigate regulatory risk.

Profile

• Minimum of 1-3 year(s) Investment Compliance experience
• Previous exposure to securities, offshore bonds, as well as dealing with clients from offshore and overseas jurisdictions.
• Significant experience of the regulations pertaining to retail client communications.
• Excellent knowledge and understanding of regulatory requirements affecting a UK asset management and wealth management business.

Job Offer

• A competitive salary up to £50,000 per annum.
• 12 month fixed term contract.