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Compliance Monitoring Analyst

RICHARD JAMES RECRUITMENT SPECIALISTS LTD
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

Our client is an exciting Energy Investment company based in London, and this role provides the incumbent with a unique opportunity to join this dynamic and ever-changing business.Our client has two core functions: Investment Function representing Front Office Trading; and Non-Investment Function representing running of the business and is responsible for defining and implementing an effective operational and risk framework acrossall functions. This area includes: Business Management, Risk, Operations, Compliance, Human Resources, TechnologyThe Compliance Monitoring Analyst role is within the Non-Investment Function, reporting to the Chief Operating Officer.The successful candidate will join a small, high-profile team tasked with investment management service to clients.RESPONSIBILITIES:

  • Compliance monitoring in accordance with regulatory and internal standards
  • Market Abuse Monitoring
  • Conducting reviews of trading including best execution in relation to portfolios
  • Reviewing trades on regulated funds for compliance with requirements
  • Regular checks on portfolios for compliance with suitability requirements
  • Reviewing PA dealing to ensure in accordance with requirements
  • Reviewing Financial Promotions to ensure clear, fair and not misleading
  • Assisting with FCA returns
  • Monitoring compliance with Training and Competence requirements
  • Supporting and/or providing Compliance training to staff
  • Compilation of various management reports
  • General Compliance administration
  • Projects and ad-hoc tasks as required by management
  • Attend meetings and prepare minutes when required
  • Prepare updates of compliance documentation
  • Assist with responses to complaints
  • Deal with responses to due diligence requests on the Company
REQUIREMENTS:
  • Prior financial services experience, preferably in an investment or platform-based environment
  • At least 2 years experience in compliance, ideally within areas of Investment compliance (buy-side or sell-side) or a consultancy firm
  • A good understanding of FCA rules and their application
  • Strong Trade Surveillance experience
  • Knowledge of Market Abuse Regulation
  • Proficiency in Microsoft Office (Excel/Word)

Keyskills :
ComplianceCompliance MonitoringCompliance TrainingInvestment ComplianceMarket AbuseTrade SurveillanceFCA Rules

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