Compliance Analyst, minimum of 2 years’ experience, required for established, reputable and inn

Recruiter
Arbuthnot Yon
Location
London (Central), London (Greater)
Salary
Competitive base salary plus bonus and bens
Posted
21 Apr 2021
Closes
19 May 2021
Ref
AY 10422
Vacancy Type
Solicitors, In-House, Other
Contract
Permanent
Hours
Full Time
PQE
1-3 Years
Experience Level
Junior Level

Our client is an entrepreneurial and innovative investment manager, with a strong and solid reputation.  Having experienced a period of sustained, positive performance over the past years and currently going through a phase of global expansion, it is an exciting time to join them. This is a new role to support this expansion.

What will the role involve?

This is a broad compliance role facing out to the entire business and will encompass:

  • Assisting the Compliance Manager to sign off on financial promotions;
  • Keeping abreast of regulatory developments;
  • Implementing regulatory policy change where necessary;
  • And advising the business on compliance policy and regulatory matters.

This Investment Manager is subject to a diverse range of regulations within UK and Europe, across UCITS and AIFMD, and will be subject to other regulatory bodies as its grow and moves into new jurisdictions

This Compliance team has an ‘open door’ policy and works collaboratively and closely with the business so you must be someone who enjoys regular interaction with your business colleagues and prefers an open plan environment.

Furthermore this Compliance team is small consisting of 7 professionals including this role, and they are a team of ‘generalists’ whereby no one person is pigeon-holed into a certain area. We are therefore looking for someone who is keen to take on a diverse range of work, is keen to pick up new areas and has a thirst to continue learning.

Historically this has been a stable Compliance team with a team-orientated ethos. We are therefore looking for someone who is seeking a long term move, and somewhere they can build their career and ‘bed down’.

What skill sets are we looking for?

  • A minimum of 2 years’ experience in compliance within financial services, we are very open to considering those outside of the asset management sector;
  • Financial promotions experience would be preferred but not essential, it can be learnt on the job;
  • Experience in regulatory compliance including interpreting FCA rules;
  • Educated to degree level, any professional exams in financial services would be desirable.

What softer skill sets are we looking for?

  • Attention to detail and ability to multitask;
  • Resilient under pressure;
  • Excellent written and verbal communication skills;
  • Ability to work with colleagues at all levels.

Our client provides a collegiate, stable, dynamic and entrepreneurial culture in which to work, and an excellent remuneration package.

For more information please contact:

Celene Yon celene@aysearch.com , 07944 390 723

Matt Bloxham matt@aysearch.com , 07900 692 209

Due to a high volume of applications we will only respond to those we deem suitable for the role.

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