Compliance Analyst - Asset Management
at Robert Half International UK

Date Posted: 25/11/2019

Job Description

Ref ID:  06030-0011228102


Compliance Analyst

Asset Management firm



Role and Accountabilities:

  • Undertake the compliance monitoring programme, report on findings, make recommendations and ensure they are successfully implemented. This includes: Completing the compliance monitoring tasks recorded and issuing and managing the responses to the compliance affirmations issued each year.
  • Maintain and update the compliance monitoring programme on the system adding new tasks as they are identified and in particular to support the 'reasonable steps' obligation on Senior Managers
  • Administer Compliance System and promote and assist the use of the system in other offices

  • Assist in collating and reviewing KYC in respect of parties we transact with and new clients.Assist in reviewing and resolving sanction and PEP matches generated via the ongoing online screening process.
  • Update KYC for clients in line with the requirements of the Global Anti-Money Laundering Policy.
  • Maintain the register of Certified Persons
  • Administer and oversee the annual certification process
  • Oversee the prompt and proper creation and maintenance of key SMCR documentation
  • Assist with the implementation of new FCA rules and EU Directives.
  • Prepare the FCA returns.
  • Maintain key documents, databases and registers.
  • Provide advice on policies and procedures to colleagues from investment management, asset management and other departments.
  • Respond to questions relating to compliance systems and assist in resolution of technical queries.
  • Assist in preparing compliance training.

Required Qualifications & Experience:

  • Degree level education.
  • Some level of understanding of the FCA rules preferable.
  • Experience in audit or compliance role would be an advantage.
  • Confident self-starter.
  • Able to self-manage, prioritise and work efficiently.
  • Able to form good working relationships with colleagues at all levels.
  • Good communicator.

The salary range/rates of pay is dependent upon your experience, qualifications or training.

Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. Where rates of pay or salary ranges are detailed these are dependent upon your experience, qualifications or training. If you wish to apply for this position please read our Privacy Notice which details how we may use, process, store and disclose your Personal Information:

Job Snapshot

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