Portfolio Compliance Analyst - Asset Management in City of London

Energy Jobline ZR; City Of London; Hybrid; GBP 50,000 - 58,000; Full time

Job summary

A leading energy job board in the UK is seeking a junior or mid-level Portfolio Compliance Analyst to join their expanding Compliance function. This position involves reviewing investment financial promotions, attending risk meetings, and delivering regulatory training. Candidates should have significant experience in senior investment compliance, particularly with regulations affecting retail clients. The role offers a competitive £50k base salary and hybrid working options.

Benefits

Company benefits

Hybrid working

Qualifications

• Demonstrable senior investment compliance experience.
• Significant experience of the regulations pertaining to retail client communications.
• Excellent knowledge and understanding of regulatory requirements affecting UK asset management.

Responsibilities

• Review and sign-off of investment financial promotions and related materials.
• Attend the Investment Risk meetings and Compliance governance committees.
• Conduct new joiner compliance inductions and deliver regulatory training.

Skills

Senior investment compliance experience

Regulations for retail client communications

Knowledge of regulatory requirements

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 Details

New opportunity for a junior or mid-level Portfolio Compliance Analyst to join an expanding Compliance function. Report and work closely with the Head of Compliance & Operational Risk.

Client Details

UK Asset Manager.

Responsibilities

• Review and sign-off of investment financial promotions and related materials, including review of associated procedures.
• Attend 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.

Qualifications

• Demonstrable senior investment compliance experience.
• 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.

Offer & Benefits

£50k base salary.

Company benefits.

Hybrid working.

Application

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