58051956

Compliance Analyst

  • London
  • £50000 - £55000 per annum, Benefits: Excellent
  • Permanent

Compliance Analyst – Wealth & Asset Management 
 
My client is a rapidly expanding well established Wealth & Asset Manager. This is a newly created role to support the Head of Compliance and working as part of the team.
 
Duties and responsibilities will include:  

  • Undertaking regular deep dive thematic monitoring reviews into Business activities, risks and controls such as, trade lifecycles and Corporate Finance engagements, transactions, conflicts of interests, suitability, payments, product lifecycle and GDPR controls.
  • Investigate, eliminate or escalate alerts received from financial crime risk management system.
  • Assist in investigating breaches and complaints and completing the breaches and complaints log including mitigating factors.
  • Assist in investigating suspicious behaviour from dealing activity alerted via the trade surveillance system or information requests received from Exchanges or Regulators.
  • Assist with the production of regular Compliance management information and report findings
  • Assist in the gathering of required regulatory information for the Regulator
  • Assist in collating upcoming regulatory changes, communicating changes to the business and tracking all required actions.
  • Maintaining the Risk and Compliance Policies and Procedures on the intranet
  • Timely review and approval of financial promotion

 
The ideal candidate will have a minimum of two years compliance monitoring experience and good regulatory knowledge within Financial Services.
 
 

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