Global Compliance Analyst

Responsible for assisting with a variety of activities related to the compliance function in an effort to ensure compliance with regulatory requirements, operating policies, and fund/client imposed investment limitations
The position job holder will assists in the preparation and filing of regulatory reports and related administrative responsibilities, and in the completion of fund and client account analyses

KEY RESPONSIBILITIES
Performs daily reviews of security positions held by mutual funds and separately managed accounts to ensure compliance with all regulatory requirements, operating policies, and fund/client imposed investment limitations.
Assists more senior level staff in the preparation and filing of regulatory reports and related administrative responsibilities following established procedures.
Assists in the completion of fund and client account analyses as directed.
Provides guidance to the trade operations department regarding daily compliance issues.
Prepares and distributes periodic client compliance reports, representations, and checklists as required.
Conducts research and prepares documentation in response to customer inquiries as directed by senior level staff.
Assists in maintaining the trading compliance system.
Communicates potential compliance issues to management and/or senior level staff as appropriate.

You are likely to have already gained at least 12 months regulatory/investment compliance experience and be ready for an exciting and refreshing new challenge

Hays Specialist Recruitment Limited acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. By applying for this job you accept the TC's, Privacy Policy and Disclaimers which can be found at hays.co.uk

June 28, 2013 • Tags: , • Posted in: Financial

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