Compliance analyst - One year fixed term contract

Our client is a premier asset manager

This role has responsiblity for managing all front office system related alerts, rules amongst other activities

Detailed Responsibilities

1. Front Office System oversight and management
2. Wall crossings and Front Office System list updates
3. Pre and post trade alert analysis
4. Regulatory disclosures
5. Front Office System rule coding for new accounts and/or new investment guidelines
6. Change in Control process

Regulatory Responsibilities:

1. Compliance with those aspects of the FCA’s Senior Managers and Certification
2. Regime which apply to you - including adherence to the Conduct Rule
3. Take proactive steps to keep up to date with regulatory updates to ensure a detailed understanding of compliance pertinent to your work
4. Be open and transparent in the way you deal with our clients
5. Ensure that wherever possible the interests of our clients are put first

Risk:

1. Be aware of the risks to the firm, and to its clients, of your actions and responsibilities
2. Ensure that as these risks change, or new risks arise, these changes are clearly communicated throughout the firm as appropriate
3. Manage these risks appropriately including involving your line management and the Chief Risk Officer as necessary

Additional Supervisory Responsibilities:

There are no direct reports to this role

Experience

1. Number of years in asset management or other comparable financial services roles
2. Technical and practical expertise in front office systems