Compliance Monitoring Analyst

£45000 - £50000 per annum Pension

Asset Management - Compliance Monitoring Analyst

A boutique asset manager in the city of London are looking to make a replacement hire on the Compliance team.

Type: Permanent
Location: West London
Salary: £45,000 - £50,000
Title: Compliance Monitoring Analyst

A boutique investment management firm with a history of solid returns is looking to make a replacement on its team. Developing and maintaining the company's Compliance Monitoring Plan the role will be part of the Dealing and Managing Team. You will be reporting into the Deputy Head of Compliance.

The role will involve the following:

  • Personal account dealing, corporate access, gifts and corporate access along with the approved persons records will all fall under your remit.
  • A strong understanding of Pre and Post Trade Monitoring experience is essential.
  • As you will be dealing with senior management the production of concise and effective Management Information is essential to the role.
  • You will also be dealing with several of the teams throughout the business hence the need for good stakeholder engagement skills.
  • The role will also involve assisting with regulator queries giving you good exposure to more senior responsibilities.

Key Skills and Requirements:

  • The ideal candidate will have been working in Compliance for and Asset/Investment Management business for 2-3 years
  • A good technical understanding of UCITS
  • Experience using investment restrictions imposed on funds through Bloomberg (or Charles River etc.)
  • Experience having worked in both the front and back office would be a significant advantage.
  • A good track record of enhancing compliance processes and procedures, preferably around the Dealing and Managing monitoring tests.


£ k