Accessibility Links

Compliance Monitoring Analyst

  • Location: London
  • Salary: Up to £65,000
  • Job type: Permanent
  • Job reference: NC/171086
  • Sector: Asset Management/Funds
Job Description

 

I'm continuing to work with a large Asset Manager who are looking to make another addition to their Compliance Monitoring team. Responsibilities will include;

  • Monitoring Client Money, Remuneration, Client Reporting, Investment Research & Risk
  • Producing Compliance Monitoring reports outlining findings
  • Informing management of issues arising from findings
  • Assist the Head of Compliance Monitoring in re-assessing the Compliance Monitoring Plan
  • Resolving compliance matters and providing solutions
  • Reviewing and approving Financial Promotions
  • DDQs and client questionnaires

 

The ideal candidate will have 4 or 5 years’ experience conducting regulatory compliance thematic reviews, monitoring client money, remuneration and client reporting as well as good communication skills and the ability to work with and influence stakeholders.

 

The salary will be in the region of £65,000 plus a discretionary bonus and benefits.

 

For more information please contact Nathan Coomber on nc@barclaysimpson.com or submit your CV for consideration.

Similar jobs
Training & Competence Manager
  • Location London
  • Salary £55,000 - £65,000
  • Job type Permanent
  • Sector Asset Management/Funds
  • Description T&C Manager role for large Financial Planning and Wealth Management firm
Compliance Senior Analyst - Advisory
  • Location London
  • Salary £55,000 - £65,000
  • Job type Permanent
  • Sector Asset Management/Funds
  • Description US-based Wealth Manager needs Compliance Advisory person for UK & Europe-focused team in London
Compliance Manager
  • Location London
  • Salary Up to £50,000
  • Job type Permanent
  • Sector Asset Management/Funds
  • Description Well known High Street brand needs 2 Compliance Managers to join their Asset Management business near Southampton
Related news