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Marketing Compliance Analyst

BBBH2189_1538045388
Up to £45000 per annum


Marketing Compliance Analyst - Investment Management


A well-known Asset Management company in London are looking to recruit a Marketing Compliance Analyst to join the Compliance department on a Permanent basis.

This is a permanent role
Role: Marketing Compliance Analyst
Salary: £40,000 - £45,000
Location: London

This role will be reporting to the Senior Manager for Distribution Compliance and work with the wider compliance and marketing team across the business. You will undertake the financial distribution compliance duties throughout the business keeping on top of financial promotions ensuring that the company meets all regulatory requirements. This role will give you great exposure to the international compliance as you will be dealing with EMEA and on occasion parts of North America.

The company itself has a wealth of top level talent that you will be dealing with daily. You will be contributing in the creation of internal manuals, policies and procedures to enable the business to remain compliant throughout the various business units.
The roles main responsibilities will be:

  • Reviewing potential regulatory issues that relate to sales and marketing generated by multiple business units and provide recommended actions back to the business unit.
  • You will need knowledge of regulations pertaining to Luxembourg and Italy.
  • Communicate with relevant business units to ensure that any queries regarding Financial Promotions are answered from a compliance perspective.
  • Contribute to the firms policies and procedures ensuring that all policies and procedures involving financial promotions are up to date and adhered to.
  • Maintain and update the PEP / sensitive accounts long
  • Manage the financial crime inbox


You will need:

  • Excellent communication skills
  • The ability to build positive business relationships across various business units.
  • Professional proficiency in Italian and English

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.

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