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Compliance Analyst (Asset Management)

Information About This Job

Job Title: Compliance Analyst (Asset Management)
Contract Type: Permanent
Location: London
Salary: £40,000 base
Contact Name: Mark Foy
Contact Email:
Job Published: over 1 year ago

Job Description

Key Responsibilities

  • Assist with compliance advisory support and guidance to the Multi Asset (MA) business in relation to all regulated corporate/business activities to ensure that such regulations are effectively integrated to the business with particular focus on FCA/CBI/ UCITS/AIF ,money laundering/financial crime regulations and industry best practice

  • Assist with compliance monitoring support including where necessary scoping reviews, monitoring and report writing Help maintain and update compliance registers and analytics

  • Assist with regulatory training and development across the MA business in accordance with best market practice

  • Assist with regulatory reporting and risk management information production for governance committees, boards and the wider group where necessary

  • Work closely with the central Risk team and build strong relationships throughout the Multi Asset business

  • Identify any concerns or issues promptly and escalate through the Compliance team to resolve and support root cause analysis to prevent any re occurrence

  • Keep abreast of all relevant regulatory asset management market changes in accordance with best market practice

  • Assist with providing best market practice support and guidance for all relevant project initiatives within the business and ensure qualitative and exemplary delivery  


Person Specification

The successful applicant will be expected to uphold the company's core values:


  • Maintain our entrepreneurial culture

  • Strive for continuous improvement

  • Lead by example


  • Use expertise to deliver on promises

  • Persevere to get the right outcome

  • Act with focus and care

Stronger together:

  • Collaborate, learn from experience, and adapt

  • Share openly and transparently

  • Listen, to include new perspectives


Skills & Experience

  • Proven track record of delivering large, complex transformation/migration programmes to a successful conclusion

  • Deep understanding of the asset management industry including systems, data, processes and out-sourced service providers

  • Managing migration programmes across multiple outsourced providers – fund accounting, transfer agency, middle office

  • Confidence, drive, energy, resilience and tenacity to deliver success in a challenging business environment

  • Strategic in outlook and commercially astute with excellent communication and presentation skills, able to engage and influence at all levels across the business and the wider organisation

  • Comprehensive knowledge of change delivery disciplines, tools & techniques

  • Strong risk awareness and management skills


Additional Experience & Qualifications

  • Degree qualified or equivalent experience

  • Experience required:

  • Experience in a compliance and/or regulatory support role in the UK

  • Experience of asset management/investment management


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