Compliance Advisory Analyst

Our client a global asset manager with over $200bn AUM require a Compliance Advisory Analyst to join their growing compliance team. The company pride themselves on their very focused fund investment strategy. In recent years their funds have outperformed their peers and on the back of this the business has grown steadily. The company are based in the West End of London, in excellent offices. The company have won industry awards for having an excellent working culture and environment for employees.

The role of Compliance Advisory Analyst sits in the core compliance function, and will form part of the team that face off to and engage with the front, middle and back office in regards to compliance queries. This particular role has a particular focus to wards the front office. Some of the key responsibilities will include;

· Provide compliance advisory support to the front and middle office teams (broad range of investment types: fixed income, equities, loans)
· Participate in projects that analyse regulations assessing the impact across the business and how best to implement regulatory changes.
· Ensure all relevant front office compliance policies and procedures are up-to-date and that new procedures are written where necessary
· Monitor, help resolve and maintain the breaches register and prepare reports for the Irish Fund Board
· Assist in the enhancement of the compliance monitoring plan and conduct front / middle office monitoring
· Develop surveillance monitoring of compliance with Market Abuse Rules
Assist other team members in reviewing marketing material and country specific private placement rules.

For this role it is essential that you have gained compliance experience within Asset Management, in a company that manages institutional client funds. My client will consider a compliance advisory specialist or a generalist compliance specialist. You should have strong working knowledge of the following key areas;

· Compliance experience within asset management across a broad range of products with particular experience of working directly with fund managers, analysts, marketing, sales and product development teams
· Knowledge of regulated funds (UCITS)
· Ability to work to very short deadlines and make quick and reasoned decisions
· Able to work individually with minimal supervision but also as part of a team
· Excellent inter-personal skills, with a strong personality, confident, highly motivated and organised, team player, but able to operate under their own initiative
· Experience with Thinkfolio and Blackrock Aladdin would be an advantage, but not essential
· International experience would be beneficial, but not essential
· Strong report writing skills
· Knowledge of the FCA Handbook

To find out more about this opportunity please call Stephen Borner at hays on 02034650110. Thanks

April 11, 2014 • Tags:  • Posted in: Financial

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