Portfolio Compliance Analyst - Asset Management

New opportunity for a junior or mid-level Portfolio Compliance Analyst to join an expanding Compliance function.

Report and work closely with the Head of Compliance & Operational Risk.

Client Details

UK Asset Manager.

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

• Demonstrable senior investment compliance experience.
• 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

£50k base salary.

Company benefits.

Hybrid working.