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Compliance Analyst

Information About This Job

Job Title: Compliance Analyst
Contract Type: Permanent
Location: London
Industry:
Contact Name: Mark Foy
Contact Email: mfoy@lawsonchase.com
Job Published: 15 days ago

Job Description

You will be responsible for conducting the monitoring activities included within the Compliance Monitoring programme, which includes conducting testing within the designated timescales and escalating matters to the Compliance Monitoring Manager as required.


 

Key Responsibilities

  • Carrying out and delivering the core work of the CMP on a monthly basis in line with the plan.

  • Assisting the Compliance Monitoring Manager with ad-hoc relevant tasks.

  • Logging and ensuring appropriate follow-up actions are taken on all errors and breaches, whether occurring internally or at the outsourced service providers.

  • Assisting with the coding of client investment restrictions to the Charles River system, and communicating with fund managers and Investment Operations on the coded investment restrictions.

  • Assist the Compliance Monitoring Manager in the development of the CMP.

  • Take on non CMP related tasks either at the request of the Compliance Monitoring Manager or under own initiative when appropriate.

  • Liaison with business teams to seek remedial actions for identified deficiencies,  focusing on providing pragmatic solutions and not just reporting problems.

  • Developing relationships with business teams and providing consultancy support  and technical expertise to the business on BA U and project related risk and control issues.

  • Provide MI to senior management.

 

Skills & Experience

Experience in using CRD and Bloomberg. Experience of conducting front office monitoring tasks including best execution and market abuse.

 

Ref: | Published: 04 Jan 2019