Compliance Analyst
Full Job Description
An exciting opportunity has arisen with a large global asset manager who are looking to add a Compliance Analyst to their team. This role will encompass a range of responsibilities from monitoring to advisory. Day to activities will include:
-Ensuring that monitoring is undertaken in accordance with the agreed programme.
-Assisting the Head of to ensure that any adverse findings or those requiring follow-up are dealt with promptly and satisfactorily in liaison with relevant staff within the business and all relevant issues closed out satisfactorily.
-Assisting the Head of to re-assess and re-define the monitoring programme as required
-Assisting the Head of to ensure that compliance procedures and controls are adequately defined to enable staff to conduct their business within the Applicable Regulatory Requirements.
-Prompt reporting to the Head of of all "material" breaches or potential breaches of Applicable Regulatory Requirements and any significant changes to such Applicable Regulatory Requirements.
-Provision of monthly written reports by the due dates to the Head of in respect of the UK regulated companies, covering significant findings of monitoring undertaken in accordance with the annual and quarterly Compliance Monitoring Plans.
-Assisting the business to resolve or, as the case may be, to resolve any Compliance-related problems and, before recommending or adopting a course of action which might have repercussions for the business or the
Experience of monitoring in an Asset Management business
Understanding of COBS (Financial promotion and Dealing rules)
Understanding of COLL (Investment Borrowing , Valuation and Pricing and Transfer Agency rules)
Understanding of CASS (client money)
Good report writing skills
Good listening and influencing skills
The ability to build positive working relationships with people across the business
Microsoft office knowledge (in particular Excel)
Good analytical and problem solving skills
Our client is a well know global asset manager
Competitive basic + benefits + discretionary bonus
Where specific UK qualifications are required we will take into account overseas equivalents.
Please quote Michael Page reference when applying Job ref:MPGX13238930
Michael Page International is a world leading recruitment consultancy.
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