Compliance Analyst

£40000 - £50000 per annum 25% Bonus

I am currently working with a London based investment management firm who are currently looking for a Compliance Analyst to join their existing team on a permanent basis. Looking to pay around £50,000
The overall role would be focusing on:

  • Review of risk framework and register
  • Oversight of operational risk
  • Presentation of issues to Operational Risk Committee
  • Monitoring the liquidity, market, counterparty credit and investment risks
  • Restrictions and Exposures Monitoring
  • Preparation and submission of regulatory reports to FCA and SEC
  • Performing elements of the Compliance Monitoring Programme, which includes the monitoring of operations, trading and best execution.
  • Review and sign-off of Financial Promotions.
  • Administration, including preparation and maintenance of the Compliance policies and procedures.

The ideal candidate will have:

  • Professional risk qualifications, and/or be degree-educated.
  • Experience of UK financial services compliance, in an asset management or funds environment.
  • Knowledge of AIFMD Risk Management requirements and processes.
  • Knowledge and experience of regulatory reporting.
  • Good knowledge of financial promotion rules



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