Compliance Analyst – Asset Management

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:

Compliance monitoring

1. Undertake the compliance monitoring programme, report on findings, make recommendations and ensure they are successfully implemented
2. Assist in continuous development of compliance monitoring programme, leveraging the use of technology and analytics
3. Maintain the compliance monitoring programme

KYC and sanctions

1. Conduct KYC and sanctions screening
2. Coordinate and conduct initial and periodic AML checks on clients and deal counterparties
3. Draft reports to the Board and the Global AML Committee on AML issues

SMCR

1. Maintain the register of Certified Persons
2. Administer and oversee the annual certification process
3. Oversee the prompt and proper creation and maintenance of key SMCR documentation

Compliance Framework

1. Assist with the implementation of new FCA rules & UK regulatory requirements
2. Assist in drafting the FCA returns
3. Assist in drafting the periodic reports to the Board
4. Maintain key documents, policies and procedures, databases and registers

Advice and Training

1. Provide advice on policies and procedures to colleagues from investment management, asset management and other departments
2. Respond to questions relating to compliance systems and assist in resolution of technical queries
3. Assist in development and delivery of compliance training

Required Qualifications & Experience

• Degree in Law, Finance or Risk Management

• 1-2 years of experience in compliance from an asset manager is essential – please only apply if you meet this criteria

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