Compliance Analyst (Investment / Fund Manager)

Zoek Pin Great Bowden, Leicestershire, England

£30000 - £45000/annum Flexible /Fully remote plus benefits

Permanent (Full time)

Posted 13 days ago

Compliance Oversight Analyst (Investment / Fund Manager)

Location: You are able to work fully remote (They also have offices all across the UK, London, Bristol, Midlands etc.)

Reports to: Senior Compliance Manager

Role purpose

Be a trusted business partner with the capacity to get things done, through persuasion, collaboration and effective communication.

To assist the Oversight team in implementing an effective external oversight programme, including but not limited to investment managers and sponsors, and provide regular reporting to the board of directors and senior management.

Key responsibilities

Supporting the Compliance Oversight Manager in undertaking the monitoring of outsourced functions through desk based monitoring and onsite visits.
Providing guidance and support to outsourced functions to ensure they are operating in a manner consistent with the regulations, industry standards and our expectations.
Prepare regular reports to management on the outsourced functions, in particular highlighting any key risks or areas for concern.
Communicate with outsourced investment managers and sponsors in relation to regulatory change and industry standards to ensure any changes impacting have been implemented.
Assist with the update and maintenance of policies and procedures in relation to the oversight of outsourced functions ensuring that they reflect any regulatory changes or areas identified as high risk.
Review and approve customer communications, including financial promotions.
Promote a strong compliant culture within the business, through activities such as regulatory training.
Undertake additional projects as directed from time to time by the Compliance Oversight Manager
Experience

At least 3 year's;

Compliance experience (monitoring, regulation, policy etc.)
Fund operations (UCITS / AIFS) knowledge/experience is a plus Benefits:

25+ days annual leave plus statutory bank holidays
9% non-contributory pension
Annual bonus scheme Fantastic
Private Healthcare Scheme
Death in Service at 5 x annual salary
35 hour working week
Training for IOC and other relevant qualifications
Exam completion bonus £500 (IOC) Study leave
Cycle 2 work scheme
Eye test reimbursement
13 weeks fully paid maternity leave
2 weeks fully paid paternity leave
Perkbox membershipInterview Process: 2 stages via MS Teams

If interested please send your CV over to (url removed)

GCS Computer Recruitment Services is acting as an Employment Agency in relation to this vacancy

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