Senior Compliance Analyst
Senior Compliance Analyst, Front Office Transaction Monitoring
A fantastic compliance vacancy has opened up at a leading Investment Management firm within their successful Transaction Monitoring Compliance team. The role will see you sit within a team of 4, reporting into the Global Head of the division who is based in London.
The team has an excellent culture, and is headed up by an impressive and well respected industry professional. This role will provide a fantastic step-up for someone looking for their second or third compliance role, and who are seeking out opportunities that will provide greater autonomy and responsibility.
The role will see you carry out independent front office transaction monitoring compliance activities across the organisation in order to obtain reasonable assurance that the business is operating in line with relevant laws, regulations, codes and firm wide standards.
Key responsibilities include:
• Preparing and implementing a transaction monitoring plan, working alongside Business Unit Heads
• Adding to and enhancing the Compliance Monitoring Programme ensuring that it adheres to company and industry standards
• Preparing reports to inform key stakeholders of the outcome of transaction monitoring and transaction review work, assigning actions and following-up on the outcomes.
• Build close working relationships with the Front Office Business teams.
• Monitoring regulatory developments and assessing the impact on business procedures and making written recommendations for improvement to senior stakeholders
• Providing advice and guidance to the business on issues relating to transaction monitoring procedures and developments
Requirements:
• A minimum of 2 years compliance, audit or regulatory experience within an asset management business is required.
• Law degree advantageous
• Strong written skills; drafting reports, constructing working papers
• Ability to work with a high degree of autonomy and initiative
For more information on this role, or to find out about other roles currently live on the market, please contact Katy Quicke at Hays on 0203 465 0110
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