10 miles

Compliance Analyst - CRD - Market Abuse - Best Ex


£450 - £500 per day


I'm working with an Investment Management firm who are looking to bring in a Compliance Analyst on a 3-month contract (with scope for extension), to start immediately, working around Market Abuse and Best Execution (essential)

The Role; The job holder will be responsible for conducting monitoring activities in alignment with the Compliance Monitoring Programme, including testing and escalating matters to Senior Compliance Monitoring Managers.

Key Responsibilities;

  • Carry out and deliver core work of the CMP on a monthly basis in line with the plan
  • Assisting on ad-hoc Compliance Monitoring tasks
  • Logging and ensuring appropriate follow-up actions are taken on all errors and breaches
  • Assisting with the coding of client investment restrictions to the Charles River system, communicating with fund managers and Investment teams
  • Liasion with business teams to seek remedial actions for identified deficiencies
  • Providing consultancy support and technical expertise to the business on BAU and project related risk and control issues
  • Provide MI to senior management

Key Skills Required;

  • Experience in Charles River and Bloomberg
  • Proven experience in a Front Office monitoring environment, covering Market Abuse and Best Execution

If you qualify for the above description, and are interested in the role, please apply within.


Posted 109 days ago

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