Senior Compliance Analyst - Investment Management

London Permanent £45,000 - £50,000
  • Growing compliance team
  • A highly regarded global Investment Management firm

About Our Client

Our client are a leading Investment Management firm with offices globally and this role will be based in London.

Job Description

The Senior Compliance Analyst - Funds will be responsible for:To be a Compliance point of contact for all technical queries and regulatory matters relating to

funds, marketing, and distribution.

· Provide advice, guidance and training to the business in relation to current and emerging

regulations in respect of products, distribution and marketing, including cross border activities.

· To sponsor the development of workflow tools and working practices that enable more efficient

reviews of both UK and global marketing materials.

· Assist in the completion of fund related tasks such as the logging and review of breaches and


· Assist in the review of fund documentation (Prospectus & KIIDs) and Report and Accounts.

· To provide support, training and guidance to the business as required.

· Assist in the development of management information.

· Assist the Compliance monitoring team with periodic compliance monitoring reviews.

· Assist the business with the preparation and compilation of regulatory reports and summaries to

various committees of the Board and Senior Management, as required.

· Assist in the maintenance and revision of applicable policies and documents.

The Successful Applicant

The Senior Compliance Analyst - Funds should have the following skills:Education/Qualifications

· Degree or relevant industry qualifications


· Sufficient relevant experience, preferably gained in an asset management or equivalent environment.

· Experience reviewing both retail and institutional financial promotions, across multi products and asset

classes.Knowledge and Skills

· Knowledge of FCA COBS Regulations specific to financial promotions. AIFMD and UCITS, cross-border

marketing knowledge desirable.

· Energetic personality with the drive to effect change and develop relationships across all levels of the


· Strong written and verbal communication skills

· Strong analytical skills

· Able to produce training material which interprets FCA rules into simple terms

· Able to use initiative, work unsupervised and comfortable taking responsibility

What's on Offer

Salary of £45,000 - £50,000 plus attractive benefits packageHybrid working 2-3 days per week in the office

Karen O'Neill
Quote job ref
Phone number
+44 207 645 1432

Job summary

Banking & Financial Services
Compliance & Legal
Financial Services
Contract type
Consultant name
Karen O'Neill
Consultant phone
+44 207 645 1432
Job reference