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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:

 

Compliance Analyst - CRD - Market Abuse - Best Ex


I'm working with an Investment Management firm who are looking to bring in a Compliance Analyst on a 3-month contract (with scope for extension), to start immediately, working around Market Abuse and Best Execution (essential)

The Role;
The job holder will be responsible for conducting monitoring activities in alignment with the Compliance Monitoring Programme, including testing and escalating matters to Senior Compliance Monitoring Managers.

Key Responsibilities;

  • Carry out and deliver core work of the CMP on a monthly basis in line with the plan
  • Assisting on ad-hoc Compliance Monitoring tasks
  • Logging and ensuring appropriate follow-up actions are taken on all errors and breaches
  • Assisting with the coding of client investment restrictions to the Charles River system, communicating with fund managers and Investment teams
  • Liasion with business teams to seek remedial actions for identified deficiencies
  • Providing consultancy support and technical expertise to the business on BAU and project related risk and control issues
  • Provide MI to senior management



Key Skills Required;

  • Experience in Charles River and Bloomberg
  • Proven experience in a Front Office monitoring environment, covering Market Abuse and Best Execution



If you qualify for the above description, and are interested in the role, please apply within.

#LI-AP1

Compliance Monitoring Manager

Compliance Monitoring Manager - Asset Management - Perm


An Asset Management company in the Centre of London are looking to Bring in a Compliance Monitoring Manager to run this side of Compliance.


This is a Permanent role
Role: Compliance Monitoring Manager
Salary: £60,000 - £70,000
Location: London


This role will be reporting directly to the Head of Compliance you will gain valuable experience by working very closely with key stakeholders throughout the business. The main responsibilities of the role will be running the annual compliance monitoring plan and ensuring that trades keep in line with Market Abuse Regulations (MAR).


The company itself has a strong compliance culture and the department works with the business in a cohesive manner. With this they are looking for someone that is collaborative in nature and will share with colleagues whilst being open and transparent. As this is a smaller business, they are looking for someone that will integrate into the culture well and can be adaptable at times.

Key Requirements

  • Experience updating a Compliance Monitoring Plan (CMP)
  • Experience dealing with a wide variety of stakeholders effectively.
  • Financial crime experience around AML would be beneficial.
  • Knowledge of MAR.
  • Conducting risk-based monitoring reviews, both routine and thematic.
  • Other areas of Compliance experience would be valued as there will be ad hoc projects that you will be asked to assist with.

Process Risk & Controls Manager


Process Risk & Controls Manager - Fixed Term Contract 9 Months
An Asset Management company in London are looking to recruit a Compliance Advisory Officer to join the growing department.
This is a Fixed Term Contract
Role: Process Risk & Controls Manager
Salary: £70,000 - £80,000
Location: London

The role will be reporting directly to the Group Head of Risk and work with all key stakeholders across the business. The successful candidate will join the Risk team for the business designing and producing risk registers. These registers will help the business capture key material risks associated with every step of the investment process. This function will ensure that the business evaluates upcoming regulatory risks and ensures that the business complies with new FCA regulations.

Key to this role will be your excellent communication skills and ability to influence at senior management level as well as possessing the business acumen and understanding the full risk and controls landscape across all areas of the business. There is a scope for this role becoming a permanent position after the 9 months has been completed.

Key Requirements

  • Someone with an Asset Management / Investments background ideal, but open to Life, wider Banking experience.
  • The ability to scope out and lead the project autonomously.
  • Background in ERM / Op Risk and Controls with experience of designing or supporting to design effective risk registers and control frameworks.
  • Excellent stakeholder management and influencing skills, ability to have strong conversations.
  • Some knowledge of CASS would be ideal, but not essential.
  • Open to traveling between Bristol and London.
  • If possible, some financial risk experience, or experience working with actuaries in relation to operational risk capital requirements.

#LI-ZD1

Regulatory Reporting Senior Analyst

 
FourthLine are currently recruiting for a Regulatory Reporting Senior Analyst based in London.
The role consists of:
  • On-site support of clients.
  • Liaise with clients to determine their regulatory reporting software needs.

In order to qualify for the role, my client is looking for candidates who have/are:
  • 2 years Regulatory Reporting experience.
  • Interest in working in a client facing role.


If you think you are suitable for the role and you're looking to further your career please apply by providing an updated CV.

#LI-JC1

Head Of Compliance


We are looking for a Compliance Head based in London who has following experience

  • Handle CF10 and CF11 Role
  • Understand Client Money and Client Custody
  • Understand Broking, Investment Advisory, Investment Management business
  • Understand Financial Accounts and correlate compliance rules with financial information
  • Implement new compliance requirements
  • Upgrading Compliance Manual
  • Liaising with FCA
  • Providing training to staff members
  • Submitting FCA reports
  • Understand Gabriel, COREP and Connect System



The company, a global wealth and investment management firm are looking for a self motivated and passionate individual who can oversee their compliance function as a whole. This is a great opportunity for someone looking to undertake a management position with the scope to build the compliance department from scratch.

Compliance Advisory Manager

£60000 - £65000 per annum Pension, Bonus & Other


Asset Management and Trading - Compliance Advisory Manager


An Asset Management company in London are looking to recruit a Compliance Advisory Officer to join the growing department.


This is a Permanent Role
Role: Compliance Advisory Manager
Salary: £65,000
Location: London


The role will be reporting directly to the Head of Compliance Advisory and work with key stakeholders across the business. The successful candidate will join the compliance team for the business designing and producing reports on the impact of various regulatory developments for the risk and management committees. This function will ensure that the business evaluates upcoming regulatory risks and ensures that the business complies with new FCA regulations.


The company itself is a well-established Wealth and Asset Management company with many branches to the business ensuring that the role will be varied and interesting. You will be dealing with a variety of stakeholders across different business areas including Stocks and Shares, Asset Management & Wealth Management.

Technical Abilities:

  • Designing and producing high level compliance reports for management.
  • Investigating relevant alerts and reports from Portfolio Managers.
  • You will be expected to maintain excellent knowledge of legislative and technical product knowledge.
  • Able to assess the impact that new regulations will have on the business and assist in coming up with solutions and suggestions on how these should be dealt with.
  • Previous regulatory development experience.


Characteristics:

  • You will have a team around you, but you are expected to be self-motivated and up for a challenge.
  • Confident dealing with internal stakeholders getting buy-in on necessary regulations.
  • Hit the ground running, bringing solutions not problems.
  • Proactive looking forward at new regulations.

#LI-STD

Junior Fund Oversight & Reporting Accountant

 
FourthLine are currently recruiting for a global fund manager who are looking for a Junior Fund Oversight & Reporting Accountant based in London.
The role consists of:
  • Create breach/error forms for pricing breaches and other errors. Manage corrective and remedial actions through to closure.
  • Assist in the co-ordination of production of statutory financial statements with high level internal reviews, including participation in the engagement, management and oversight of external audit firms.

In order to qualify for the role, my client is looking for candidates who have/are:
  • 1 years of fund accounting experience.
  • Keen eye for detail.
  • An interest in the fund management space.


If you think you are suitable for the role and you're looking to further your career please apply by providing an updated CV.

#LI-JC1

Compliance Officer


Asset Management - Investment Management - Compliance Officer
An Asset Management company in London are looking to recruit a Compliance Officer to join the growing department.
This is a Permanent Role
Role: Compliance Officer
Salary: £80,000
Location: London
The role will be reporting directly to the Head of Compliance and work with key stakeholders across the business. The successful candidate will oversee the compliance team for the business carrying out Monitoring, Distribution and General Compliance. This function will ensure that the business will comply with FCA regulations.
The company itself is on the cutting edge of Asset Management as a very entrepreneurial firm they are looking for like minded Compliance Professionals to join them. The company has gone from strength to strength over the past few years growing rapidly hence the need for this new role. They have attracted some of the industries top talent and are looking to continue this trend.

Technical Abilities:

  • The company is looking to bring someone in with five or more years of experience.
  • They are looking for some one with experience involving equities or derivatives.
  • Must have experience in Monitoring and Generalist Compliance.
  • Experience writing and submitting reports to regulators would be a bonus.


Characteristics:

  • Entrepreneurial.
  • Confident dealing with internal stakeholders.
  • Hit the ground running, bringing solutions not problems.
  • Collaborative.

#LI-STD
 

CASS Audit Director

 


FourthLine are currently recruiting for a boutique Audit Firm who are looking for a CASS Audit Director based in London.

The role consists of:

  • Take charge of the running of the Funds team and to build and implement a growth strategy.
  • Manage all stages of the audit and signing off audit and client money opinions.
  • Advising clients on client asset compliance issues.

In order to qualify for the role, my client is looking for candidates who have/are:
  • Strong knowledge of CASS 6 & 7.
  • Experience of working in Audit.
  • Strong stakeholder management skills.


If you think you are suitable for the role and you're looking to further your career please apply by providing an updated CV.

#LI-JC1

CASS Assurance Manager


FourthLine are currently recruiting on behalf of a client who is looking for a CASS Assurance Manager.
The role responsibilities include:

  • Act as the CASS SME for the business.
  • Assisting with the annual CASS audit.
  • Investigation around CASS & TR breaches.


In order to qualify for the role requirements include:

  • Strong knowledge of the CASS rules.
  • Experience of working in an Operations/Middle Office team.
  • Experience in an Oversight role.


If you think you are suitable for the role and you're looking to further your career please apply by providing an updated CV.

#LI-JC1

Market Surveillance Business Analyst/Project Manager Hybrid



ROLE: Market Surveillance Business Analyst / Project Manager Hybrid
LENGTH: 6 Months
DAY RATE: £500p/d

Fourthline are working with a Brokerage to bring in a Business Analyst/Project Manager who has experience working within Investment Banking Compliance.

  • We are looking for someone capable of working with Business managers and Compliance officers to implement the project within 1st and 2nd Lines of Defence, assessing trader behaviour, risk and controls.
  • Strong experience working within Investment Banking/Brokerage as a functional Business Analyst
  • Strong familiarity and working experience of Market Abuse Regulation (MAR)
  • Excel experience in essential
  • You will be working closely with users and will be expected to analyse and construct data, and write the functional requirements

If you have the relevant experience and are interested, please apply below. Please feel free to share the job description with those who you know that may be interested.

#LI-AP1

PMO Lead


FourthLine are working with a large Investment Management firm based in London to recruit a PMO Lead for a 6-12 month contract.
Job Description

  • You will be supporting the delivery of all Programmes within the business at a Portfolio level.


Ideally, I am looking for someone who has a background working at a Portfolio level in both PMO and Project Management. Wealth Management experience would also be beneficial.

If you feel you have the above experience and would like to be considered for the role, please apply with an up to date CV.

#LI-OH1

 

MINIMUM Salary

£ k