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Compliance Investment Analyst
Job Posted: 2 months ago
Salary: £ 75,000/Annum
Job Type: Permanent
Location: London
Expire in: a month
Job Description
Recruit Wealth are delighted to be representing, once again, our multi award winning investment management/DFM client who possess an enviable 20 year track record in managed portfolios.
They are able to offer a series of Active, Income, Enhanced Passive and Ethical Portfolios as well as its own Funds.
Excitingly, a newly created position for a Compliance Analyst is now available. The opportunity will report directly into the Compliance Director and will see you exert significant influence on the compliance and risk management programme.
You’ll play a critical part in ensuring that the company adheres to relevant laws, regulations, and internal policies.
Directly supporting the Compliance Director, key duties include the following:
* Design and update internal compliance policies and procedures.
* Assist in the implementation of the internal policies and procedures including the review of Financial Promotions.
* Monitor the activities and processes across key business functions (comprising a Multi-Asset OEIC, a Model Portfolio Service and a white-labelled platform) to ensure compliance with regulations and internal policies.
* Ensuring ongoing compliance with relevant rules and regulations through the monitoring of regulatory changes.
* Conduct regular internal audits to assess the effectiveness of the compliance program and Business Continuity Plan and identify areas for improvement.
* Identify and assess risks within these processes, developing and implementing risk mitigation strategies / monitoring where necessary.
* Contribute towards the construction of internal reporting across the monthly, quarterly, and annual governance framework.
* Provide compliance and risk advice and support to other teams within the business.
* Promote a compliance culture with a focus on delivering excellent outcomes for our investors.
As a competent compliance/investment professional, you’ll need to demonstrate the below experiences & exposures on interview:
* Minimum 5 years’ experience in a similar compliance role within the same industry
* Industry qualifications, CISI etc
* Experience of MPS, Funds and ideally a financial adviser client base.
* South East based/commutable to London for internal meetings
Benefits of joining the business
28 days holiday plus Bank Holidays, Death in Service, Private Medical Insurance, Group Income Protection, Employee Assistance Program, Medicash, Private Pension, Discretionary annual bonus, up to 10%, Progression, Full support for further professional qualifications, CPD etc
This opportunity is home based.
A highly attractive package alongside comprehensive company benefits are available whilst being recognised as a key member to the team and it’s future success.
There has never been a better time to join our DFM client, this is a stand out opportunity.
The business is looking to interview as soon as possible, we look forward to receiving your application to discuss furtherBefore You Apply
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