Compliance Analyst – Asset Management

Direct message the job poster from Austin Andrew

Key responsibility for maintaining the compliance and AML framework

This is a busy and business facing role requiring a degree of autonomy, within a successful and dynamic investment management business.

Working in partnership with the business teams and senior management in each office

Key Responsibilities

• Undertake the compliance monitoring programme, report on findings, make recommendations and ensure they are successfully implemented
• Assist in continuous development of compliance monitoring programme, leveraging the use of technology and analytics
• Maintain the compliance monitoring programme
• Conduct KYC and sanctions screening
• Coordinate and conduct initial and periodic AML checks on clients and deal counterparties
• Draft reports to the Board and the Global AML Committee on AML issues
• Maintain the register of Certified Persons
• Administer and oversee the annual certification process
• Oversee the prompt and proper creation and maintenance of key SMCR documentation
• Assist with the implementation of new FCA rules & UK regulatory requirements
• Assist in drafting the FCA returns
• Assist in drafting the periodic reports to the Board
• Maintain key documents, policies and procedures, databases and registers
• Provide advice on policies and procedures to colleagues from investment management, asset management and other departments
• Respond to questions relating to compliance systems and assist in resolution of technical queries
• Assist in development and delivery of compliance training

Required Qualifications & Experience

• Degree in Law, Finance or Risk Management
• A minimum of 2 years of experience in compliance from an asset manager is essential – please only apply if you meet this criteria

Seniority level

Associate

Employment type

Full-time

Job function

Analyst

Industries

Investment Management

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