Overview

A medium sized investment management firm is looking for a Compliance Analyst to join their team in this broad, generalist position. An excellent opportunity for someone with as little as 6 months compliance experience looking for a full time opportunity.

Main Responsibilities:

  • Assistance with key areas of compliance focus, including but not limited to, suitability, market abuse, transaction and trade reporting, and client take-on.
  • Daily compliance tasks including market share checks, reviewing fund and portfolio restrictions, monitoring compliance with the Takeover Panel requirements, and monitoring personal account deals.
  • Undertake monitoring of business and staff activities in accordance with the Compliance Monitoring Programme and ad-hoc monitoring upon request of the Compliance Manager.
  • Maintaining and ensuring the continuous development and enhancement of management information and reporting to senior management.
  • Ensure all breaches and errors are thoroughly investigated, recorded and resolved and escalated to the Compliance Manager where required.
  • Provide regulatory advice and assistance to the business as required.
  • Ensuring compliance policies and procedures remain up-to-date and accurate.

Job Requirements:

  • A minimum of 6 months compliance experience, ideally from within a similar Investment Management business.
  • Degree educated
  • Confident & articulate with the ability to fit into a small team and most importantly be able to learn quickly on the job.

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