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
Senior Compliance Officer (m/w/d)
  • Location Frankfurt am Main
  • Salary Verhandelbar
  • Job type Permanent
  • Sector Asset Management/Funds , Asset Management/Funds , other Financial Services , Other Financial Services
  • Description Senior Compliance Officer Stelle in Frankfurt am Main, Funds/ Asset Management
Compliance Analyst
  • Location Luxembourg
  • Salary €60,000 - €90,000
  • Job type Permanent
  • Sector Asset Management/Funds
  • Description Currently working with a Global Tier 1 Asset Manager looking to hire a Funds Compliance Analyst to join the Luxembourg based team. The Role: This role will cover funds domiciled in the U
Compliance Monitoring Manager
  • Location London
  • Salary Up to £75,000
  • Job type Contract/Temp
  • Sector Asset Management/Funds
  • Description 9 month FTC in Compliance Monitoring for a small fund manager
Risk & Compliance Officer
  • Location Luxembourg
  • Salary €50,000 - €70,000
  • Job type Permanent
  • Sector Asset Management/Funds , Banking , Asset Management/Funds
  • Description New Vacancy: Risk and Compliance Officer – Luxembourg My client is a leading Investment Management firm looking to hire an experienced Risk and Compliance Officer to join their Luxembourg based
Related news