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Job Specification

Compliance Analyst – Guideline Monitoring Experience (from Compliance or Operations) Required

£60K-£65K + Bonus + Bens | City
Ref: 3612R

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

 
 

Our Client, a leading Asset Management Firm, is looking for a compliance analyst to join their guideline monitoring team. Duties will include;

• Post trade: Carry out daily review of assigned accounts to ensure compliance with client guidelines and any additional regulatory requirements. Where issues arise, assist or carry out investigation of these and liaise with relevant departments as appropriate to resolve.  Complete compliance certifications for accounts as necessary.
• Pre trade: Ensure pre-trade team is providing relevant support to investment desk by reviewing timely and accurately any order requests to ensure the proposed trade would not breach client guidelines.
• Support new and existing client guideline negotiations for London managed accounts, including any KVG, UCITS and AIFMD funds to be managed by any other group affiliates. Support new and existing client guideline negotiations for London managed accounts, including any KVG.  Incorporate new or revised guidelines as notified by the client and ensuring all systems are properly updated.
• Identify, investigate and report breaches and errors and implement safeguards to prevent further occurrences.
• Communicate portfolio compliance issues clearly and work closely with Client Services Executives, Portfolio Managers, Legal & Compliance management and Investment Support to resolve compliance issues.
• Responsible for managing investment compliance efforts in relation to European fund ranges.  Understanding and familiarity with issues relating to Dublin/Lux funds under UCITS and AIFMD regimes.
• Manually reviewing guideline restrictions that cannot be coded into Compliance Service to ensure portfolio compliance.
• Identify and implement process improvements, including issues relating to manual tests.


The successful candidate must have a minimum of five years’ experience of guideline monitoring, whether gained in Compliance or Operations.

For further information or a confidential no obligation discussion, please feel free to call David Crook on 020 7330 6963 or send your details to him at dcrook@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. 

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

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