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Compliance Analyst

BBBH2481_1549907385
£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

#LI-RM1


This job has now been filled but you may be interested in:

 

CASS Reconciliations analyst

FourthLine is currently working on an exciting CASS opportunity within a leading Asset Manager based in the City of London. The client is undergoing a large change project, where they are building their CASS oversight function and require a contractor to aid the team and CASS reconciliations activity.

This role will play an important part in:


* Managing Outsource relationships in relation to CASS reconciliations
* Investigation of breaks for both cash and assets and progress open items to closure
* Providing regular CASS reconciliation oversight, highlight insight on trends and provide feedback to senior CASS team members

You should apply if you:


* If you have prior CASS reconciliation experience, both under CASS 6 and 7 (ESSENTIAL)
* Experience working in a CASS firm where they use third party providers
* Have an eye for detail in relation to CASS breaks and potential breaches.
* Possess excellent relationship building skills and want to be part of an exciting CASS project
If you are interested and feel that you match the desired skills/experience, please e-mail me your latest CV and I will be in touch.

Operations Risk Analyst


FourthLine is working with a leading Asset Manager based in the City of London who are looking for a Risk Analyst on an initial 6-month contract.

Day Rate: up to £275 | London | Min 6 months


Responsibilities include:

  • Monitoring and following up on accuracy and integrity of data being received from outsourced provider.
  • Recommend changes to controls or creation of new procedures to ensure service levels and regulations are adhered to.
  • Manage day to day risk events, incidents and breach reporting between outsourced provider and the client.
  • Provide weekly, monthly and quarterly status updates of Management Information.

You should apply if:

  • 3 years' industry experience within risk, must be financial services
  • Familiarity with risk management concepts and internal control operations
  • Breach/Incident reporting experience essential
  • Excellent relationship management, time management and organisational skills, with the ability to work both independently and within a team
  • Undergraduate degree or equivalent experience is preferred

CASS project support administrator

FourthLine is currently working on an exciting CASS opportunity within a leading Asset Manager based in the City of London. The client is undergoing a large change project, where they are building their CASS oversight function and require a contractor work like to aid the project manager and Project SME. The successful candidate will be responsible for accurate minute and action taking for all aspects of the change programme, as well as participating in solution design workshops.

The successful candidate will have the following skills and experience:

  • Previous knowledge or experience of CASS, ideally within a Buy-side firm
  • Familiarity with risk management concepts and internal control operations
  • Prior experience in a support role, comfortable tracking projects, via meetings, workshops updating documents/systems
  • Excellent relationship management, time management and organisational skills, with the ability to work both independently and within a team
  • Undergraduate degree or equivalent experience is preferred

The contract will initially be 6 months paying £180 per day.
If you think it may benefit someone in your network please feel free to pass on my details.
If you are interested and feel that you match the desired skills/experience, please e-mail me your latest CV and I will be in touch.

MINIMUM Salary

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