Compliance Analyst (Compliance Monitoring)
Compliance Analyst (Compliance Monitoring) – Asset Management
Our client, a highly reputable Investment Manager has an opportunity for a junior compliance analyst to join its successful compliance team.
The role will suit someone with 1-3 years compliance experience, and prior exposure to either monitoring or investment compliance. The position will provide you with fantastic development opportunities and a large degree of autonomy.
This is an exceptional opportunity, requiring candidates who have good academics and have spent time working at an Investment Management firm or Hedge Fund.
You will assist the Compliance Monitoring Manager in delivering the Compliance Monitoring Plan and will deputise for them in their absence.
Main activities will include:
* Assisting with the development and delivery of the Compliance Monitoring Programme across all internal functions and outsourced service providers.
* Liaising with business units to seek remedial action for any identified deficiencies
* Logging and ensuring that appropriate follow-up actions are taken on all errors and breaches
* Assisting with the coding of client investment restrictions onto the Charles River system
* Assisting the business with regulatory risk and control improvements
* Providing reports to senior management and assisting in the preparation of committee papers
Strong knowledge and experience of front-office activities and investment operations will be required, as will knowledge and experience of the systems and technologies supporting these functions.
For more information, please contact Katy Quicke at Hays on 020 3465 0110.
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