Compliance Analyst

Job title: Compliance Analyst

Company: Compliance Professionals


Job description: THE COMPANY:Our client is a market leading investment manager, seeking a Compliance Analyst to join the growing team.THE RESPONSIBILITIES:

• Assist in the development of policies and the establishment of reviews of procedures and policies where needed
• Ensure potential conflicts of interest are reviewed and appropriately escalated and recorded in line with Policies and Procedures
• Undertake testing in line with the Compliance Monitoring Programme, working with the business on issues identified to ensure they are reported, and remediation is completed where needed. Review and develop the program to ensure regulatory risks are captured
• Develop relationships with all relevant internal and external parties (such as ACD, custodians and various fund boards and committees), to ensure a culture of continuous improvement
• Be responsible for reviewing, recording and approving day-to-day compliance requests such as: PA Dealing, G&E, OBI’s
• Assist the business by providing regulatory guidance
• Assist the team by undertaking KYC, identification and sanction screening checks
• Carry out other duties and projects as and when required in line with team objectives
• Stay informed of regulatory developments and how they would impact on the business

EXPERIENCE REQUIRED:

• Circa 2-3 years’ experience within the Compliance function of a Buy side firm
• Experience of FCA regulations
• An understanding of SMCR, MiFID II and UCITS would be useful

For further information please contact Duncan JefferyAbout this roleLocation:LondonSpecialism:Salary:£45/55KType:Reference:19291

Expected salary: £45000 – 55000 per year

Location: London

Job date: Wed, 16 Jul 2025 00:29:56 GMT

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