Investment Compliance Analyst

Michael Page; City Of London; On-site; GBP 42,000 - 50,000; Full time

Job summary

A leading asset manager in the City of London is looking for an Investment Compliance specialist with 1-3 years of experience. The role involves reviewing financial promotions, attending compliance meetings, and conducting regulatory training. A competitive salary of up to £50,000 per annum is offered for this 12-month fixed-term contract.

Qualifications

• Minimum of 1-3 years of Investment Compliance experience.
• Excellent knowledge of regulations for retail client communications.
• Experience in securities and offshore bonds is a plus.

Responsibilities

• Review investment financial promotions and related materials.
• Attend Investment Risk meetings and Compliance governance committees.
• Deliver regulatory training and conduct compliance inductions.

Skills

Investment Compliance experience

Regulatory requirements knowledge

Process improvement

Job description

Client Details

UK Asset Manager looking to add to their Investment Compliance function.

Description

• Review and sign-off of investment financial promotions and related materials, including review of associated procedures.
• Attendance at the Investment Risk meetings and Compliance governance committees, including assembly of the pack and recording the minutes.
• Conduct new joiner compliance inductions and deliver regulatory training where required.
• Participation in SMCR oversight, including training and competence oversight (for Investments, Funds, Research, Business Development and Dealing teams)
• Awareness of new regulatory requirements and working with the business to develop and implement compliant solutions.
• Work in partnership with the business to improve processes and procedures to mitigate regulatory risk.

Profile

• Minimum of 1-3 year(s) Investment Compliance experience
• Previous exposure to securities, offshore bonds, as well as dealing with clients from offshore and overseas jurisdictions.
• Significant experience of the regulations pertaining to retail client communications.
• Excellent knowledge and understanding of regulatory requirements affecting a UK asset management and wealth management business.

Job Offer

• A competitive salary up to 50,000 per annum.
• 12 month fixed term contract.