Compliance Analyst (Asset Management) – Initial 3 month contract – £160pd recruitment
Compliance Analyst (Asset Management) – Initial 3 month contract - £160pd
Nomura Asset Management (NAM) has approximately 120 employees. Within the company, there is an exisiting team of four who work in Compliance. We require an additional individual to join the team for initially three months with a possible longer extension. The role will primarily involve assisting the team in their day to day compliance montitoring activities as well as assisting the Head of Compliance and other team members with specific projects within the department.
The Compliance Department covers areas such as FSA and SEC regulation, risk management, internal audit and legal and works closely with the Marketing, Trading and Administration teams in the UK as well as other NAM Group offices in Tokyo, Singapore, Hong Kong and New York.
Role / Principal Accountabilities:
• Performing the daily review of exception reports and other daily/weekly compliance transaction checks.
• Carrying out other tasks within the compliance monitoring programme.
• Working on ad hoc regulatory and legal issues and projects.
Skills Experience Required:
• Candidates will ideally have experience within an asset management.
• Compliance experience is preferred, although candidates from other areas with an exposure to, and interest in compliance are welcomed (eg. legal, portfolio accounting).
• Legal experience and knowledge would be an advantage.
• The selected candidate will be able to demonstrate a disciplined approach to their work, attention to detail and a willingness to develop their compliance and investment knowledge.
• Be approachable in the department and flexible in exposure to a variety of duties.
Knowledge required:
• General understanding of compliance and asset management.
• Relevant professional examinations such as IMC, IAQ or similar.
• Awareness of the FSA and an interest in compliance and its function.