A UK based Investment Management firm is looking to recruit a Compliance Monitoring Analyst to join their compliance department.
You will be responsible for the following:
- Delivering due diligence reviews and reports in line with the COT schedule and to a high standard through a combination of desk based and onsite / remote visits.
- Providing guidance to the delegates to ensure they are operating in a manner consistent with the regulations, industry standards and our expectations.
- Identifying areas where regulatory obligations and standards are not being met and communicating these findings to the delegates through written reports.
- Agreeing actions to remedy any issues identified and tracking those issues through to completion. Reporting on any that become overdue and/or instances of non-completion.
- Preparing and circulating the management information to the governance committees on the performance of the delegates in line with the review schedule and to a high-quality standard.
- Assisting with the review and development of the oversight framework through maintenance of its tools, policies, processes, and procedure guides, including key review documentation.
- Promoting a strong compliant culture within the business.
- Undertaking additional ad-hoc projects / thematic reviews at the request of the Compliance Oversight Manager.
- Good knowledge of FCA handbook rules / regulatory environment in the UK financial services sector.
- Knowledge and understanding of fund administration would be advantageous.
- Knowledge of key relevant regulatory and statutory requirements, in particular COLL/COBS/FUND.
For further information about this position please apply.
Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.