Senior Compliance Analyst - Investment Management

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

complaints.

· 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.