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Job Specification

Senior Compliance Analyst -Fund Management & Fin Proms experience required

£55K - £75K + Benefits + Bonus | City
Ref: 3602J

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


Our Client, a leading financial services group, is looking to recruit a Senior Compliance Analyst for their funds business with specific responsibilities as follows:

• Approval of Financial Promotions and management of process
• Management of attestation processes, including the FCA approved persons and SEC Access Persons of the firm
• Review and sign off of issues and errors forms in conjunction with the risk team
• Tracking of actions points and recommendations arising from monitoring reviews to ensure timely implementation
• Undertake monitoring reviews in accordance with the Compliance Programme as required
• Completion of ongoing surveillance monitoring as required
• Completion of periodic regulatory reporting undertaken by Compliance
• Input to periodic Compliance Reporting to boards and other governance Committee

You should have previous compliance experience including Financial Promotions from an Investment Management firm. Great opportunity to use such experience in a varied role working in small but friendly team and pick up new areas of knowledge e.g. SEC& Irish regulation and Alternatives Investment Funds. Full training provided where needed.

For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him at

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