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Compliance Analyst - FTSE 100 - Asset Management

Rothstein Recruitment
London, United Kingdom
£33k - £38k
Closing date
Jun 3, 2023

View more

Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Compliance Analyst - FTSE 100 - Asset Management

Excellent opportunity for a Compliance Analyst to join a FTSE 100 organisation that is tackling key issues such as transitioning our portfolio to net zero by 2050 - in a crucial role. You will be part of a Global Asset Management Compliance team and will provide support across all office locations. Reporting to the AM Compliance Oversight Manager, the AM Compliance Analyst will assist in the maintenance of compliance policies and procedures, provide advice on regulatory obligations, and ongoing support and constructive input to Compliance team members on various projects and initiatives.

Key Responsibilities

  • Provide effective support and assistant with company projects and initiatives
  • Work in partnership with internal stakeholders to coordinate and analyse the management information received from our strategic partners and the reporting produced by the team.
  • Assist in the maintenance of compliance policies and procedures (e.g. KYC manual)
  • Work closely with the Compliance team to inform oversight of business
  • Assist in providing assurance that all regulatory obligations are met, conduct risk is being adequately managed and customer outcomes are fair and appropriate.
  • Provide support in relation to AML/KYC
  • Assist in the oversight of EMIR requirements
  • Support effective and holistic understanding of risks that could affect the comapany - including the risk of outsourcing and oversight
  • Support Compliance reporting on the key risks, and attend relevant forums to represent the Line 2 view.
  • Assist with the promotion of effective challenge and provide risk opinions for proposals that could materially change the risk exposure of the company.
  • Assist with the Promotion of a strong risk culture in which the Risk Management Framework is valued and embedded, the identification and management of risks to customers is central to decision making and key judgements and assumptions are transparent
  • Assist with maintaining a continued, daily focus on the customer outcomes across internal and external business partners

Desirable Sills

  • Experience working in Compliance (or other function if accompanied by risk management experience) in a regulated Financial Services
  • Understanding of Financial Services ideally Asset Management
  • Understanding of the UK rules and regulations concerning Investments
  • Experience of management information reporting and analysis
  • Team player and an ability to work independently
  • Understanding of third party fund managers from both a risk and commercial perspective Experience of EMIR oversight/reporting
  • Understanding KYC/ AML regulatory requirements

Interested? Please Apply!

Compliance Analyst KYC Due Dilligence Bank Banking Finance Financial Services Asset Management Wealth Management Hedgefund Risk AML

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