Compliance Analyst - Compliance Monitoring (15245843/001) London, England
This Global Investment Firm is looking for a Compliance Analyst to join their team. This individual will cover a variety of functions ranging from compliance monitoring activities, oversight of fund marketing activities, investment restrictions processes, compliance reporting and compliance systems and controls administration.
Responsibilities include but are not limited to:
• Compliance monitoring activities – conducting reviews of the systems and controls applied by the business.
• First point of contact with the Compliance Monitoring teams which focus on regulated activities undertaken on behalf of regulated entities.
• Investment restrictions processes – ensuring fund investment restrictions have been adhered to and analysis of multiple reports, sources of information and reporting on this to various stakeholders.
• Taking the lead for preparing compliance reporting, including periodic risk committee reporting, regulated activities reporting and compliance input to fund quarterly reports.
The successful candidate is likely to have:
• Proven experience in a compliance advisory or monitoring role
• Solid understanding of the UK and EU regulatory requirement
• Background in an Asset Management firm or within professional services
• Experience of overseeing Code of Ethics
• Real Estate or Private Equity fund management background (desirable)
If you are interested in the role and feel you are suitable please submit your CV.
Responsibilities include but are not limited to:
• Compliance monitoring activities – conducting reviews of the systems and controls applied by the business.
• First point of contact with the Compliance Monitoring teams which focus on regulated activities undertaken on behalf of regulated entities.
• Investment restrictions processes – ensuring fund investment restrictions have been adhered to and analysis of multiple reports, sources of information and reporting on this to various stakeholders.
• Taking the lead for preparing compliance reporting, including periodic risk committee reporting, regulated activities reporting and compliance input to fund quarterly reports.
The successful candidate is likely to have:
• Proven experience in a compliance advisory or monitoring role
• Solid understanding of the UK and EU regulatory requirement
• Background in an Asset Management firm or within professional services
• Experience of overseeing Code of Ethics
• Real Estate or Private Equity fund management background (desirable)
If you are interested in the role and feel you are suitable please submit your CV.