Compliance Analyst - Real Estate Investment Manager
This is generalist role, the job holder will assist the UK Compliance Officer with their daily tasks, and under their supervision work on the compliance monitoring programme, KYC, management of Compliance Systems and maintain the compliance framework. Compliance in this context is not limited to FCA rules but also extends to internal policies and procedures and wider issues including, for example, anti-bribery, data protection etc.
The job holder will need to have excellent organization skills in order to efficiently manage competing priorities. The successful candidate will be required to work on multiple projects and the same time and be able to swiftly switch their attention between the tasks. This is an exciting opportunity for someone who would like to learn more about compliance
· Undertake the compliance monitoring programme, report on findings, make recommendations and ensure they are successfully implemented. This includes:
· 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
KYC and sanctions
· 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 Anti-Money Laundering Policies & Processes.
· 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 & UK regulatory requirements.
· Assist in preparing the FCA returns.
· Maintain key documents, databases and registers.
Global Entity Management System (GEMS)
· Undertake periodic checks to ensure completeness and accuracy of the data entered by the GEMS Updaters.
· Initiate and oversee the 6 monthly verification process to ensure that the GEMS Verifiers review and confirm the completeness and accuracy of the data for their entities.
Advice and Training
· 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.
· Participate in the wider European Compliance Group.
· Assist with research into regulatory and compliance issues.
· Assist the UK Compliance Officer & Head of Compliance (UK & Luxembourg) with regulatory projects.
· Assist the operations team with regulatory reporting.
Required Qualifications & Experience:
· Degree level education.
· Basic knowledge of the FCA rules.
· 1-2 years of experience in audit or compliance role.