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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.
Description
- Review and sign-off of investment financial promotions and related materials, including review of associated procedures.
- Attendance at 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.
Profile
- 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.
Job Offer
50k base salary.
Company benefits.
Hybrid working.
