Compliance Analyst Investment Management

  • Location

    London, England

  • Sector:

    Banking & Financial Services

  • Job type:


  • Salary:

    £40000 - £50000 per annum

  • Contact:

    Claire Smith

  • Contact email:

  • Job ref:


  • Published:

    7 months ago

  • Expiry date:


  • Startdate:


  • Client:


  • Consultant:


My client is a leading Investment Management firm and they are seeking a new compliance analyst. You will be involved in all aspects of investment regulation across the firm.

This is an excellent opportunity to utilise your existing Compliance Monitoring experience or gain exposure to this area of the business. As such, you will implement the Compliance Monitoring Plan, undertake the tests and produce the reports with recommendations, Undertake thematic monitoring and produce reports with recommendations , Liaise and coordinate an external monitoring consultant by assembling and providing material they request prior to an inspection, attend the inspection and address follow-up queries and review the report that is produced by the external consultant.

A key responsibility within this role will be to manage upstream risk by maintaining the tracker with upcoming and applicable regulations and provide accurate and timely related regulatory advice across the firm and address day to day queries, update manuals, policies and procedures, compliance implementation, gifts and entertainment.

My client is ideally seeking a candidate who has good knowledge of financial markets, investment strategies and products, strong understanding of the regulations that apply to IM including FCA Handbook, MIFID2, UCITS Regulations, EMIR, financial crime regulations, GDPR.

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.

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