Compliance Analyst - Asset Management in City of London

Energy Jobline ZR; City Of London; On-site; GBP 40,000 - 60,000; Full time

Job summary

A leading energy job board in the United Kingdom is looking for a compliance professional with a degree in Law, Finance, or Risk Management and at least 2 years of experience in compliance from an asset manager. Key responsibilities include compliance monitoring, KYC and sanctions screening, and implementing FCA regulations. The role requires autonomy and offers an opportunity to work in a dynamic investment management business.

Qualifications

• Minimum of 2 years of experience in compliance from an asset manager is essential.
• Experience in maintaining compliance and AML frameworks.

Responsibilities

• Monitor compliance and implement recommendations.
• Conduct KYC and AML checks on clients and deal counterparties.
• Assist with the implementation of new FCA rules & UK regulatory requirements.

Skills

Compliance monitoring

KYC and sanctions screening

AML checks

Advice and training

Education

Degree in Law, Finance or Risk Management

Job description

Overview

Energy Jobline is the largest and fastest growing global Energy Job Board and Energy Hub. We have an audience reach of over 7 million energy professionals, 400,000+ monthly advertised global energy and engineering jobs, and work with the leading energy companies worldwide.

We focus on the Oil & Gas, Renewables, Engineering, Power, and Nuclear markets as well as emerging technologies in EV, Battery, and Fusion. We are committed to ensuring that we offer the most exciting career opportunities from around the world for our jobseekers.

Job Description

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:

1. Compliance monitoring
2. Undertake the compliance monitoring programme, report on findings, make recommendations and ensure they are successfully implemented
3. Assist in continuous development of compliance monitoring programme, leveraging the use of technology and analytics
4. 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
• A minimum of 2 years of experience in compliance from an asset manager is essential - please only apply if you meet this criteria

If you are interested in applying for this job please press the Apply Button and follow the application process. Energy Jobline wishes you the very best of luck in your next career move.