Compliance Analyst - Asset Management

Austin Andrew; England; On-site; GBP 40,000 - 60,000; Full time

Job summary

A dynamic investment firm in the UK is seeking a Compliance Analyst to maintain the compliance and AML framework. You will be responsible for undertaking the compliance monitoring programme, conducting KYC and sanctions screening, and assisting with the implementation of new FCA rules. The ideal candidate holds a degree in Law, Finance, or Risk Management and has at least 2 years of compliance experience in asset management.

Qualifications

• Minimum of 2 years of experience in compliance from an asset manager.

Responsibilities

• Undertake the compliance monitoring programme and report on findings.
• Assist in continuous development of compliance monitoring programme.
• Conduct KYC and sanctions screening.

Skills

Compliance monitoring

KYC and sanctions screening

Analytical skills

Education

Degree in Law, Finance or Risk Management

Job description

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