Compliance Analyst

Investment management firm

£38K-£40K + bonus

London - Hybrid working

Permanent role

The role

• Supporting and managing monthly, quarterly and annual compliance monitoring reviews.
• Report writing of monitoring reviews and the management of tracking actions until completion.
• Supporting and managing review of financial promotions and other marketing presentations and materials.
• Manage ongoing third-party due diligence requirements.
• Supporting and managing periodic FCA filings: FCA RegData (monthly/quarterly/annually); and FCA Connect (ad hoc)
• Assisting with SM&CR requirements
• Assisting in preparation of training material relevant to key regulatory updates.
• Assisting with the completion and collation of: Employee Certification Forms (annual); and Code of Ethics (Personal Account Dealing) (quarterly)
• Maintain registered e.g Conflicts of interest Register/Log, etc and related documentation.
• Collation of documents/information to support monthly, quarterly and annual Canadian and US regulatory filings.
• Management of Compliance Calendar and follow through on actions required by team.
• Supporting on annual review of firm's compliance policies.
• Assist with ad hoc projects and tasks, as required.
• Ensure that your personal conduct complies in all respects with the Individual Conduct Rules prescribed by the FCA in the Code of Conduct for Staff Sourcebook, namely:

The requirements

• Degree educated
• Between 1 to 2 years compliance experience

Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to diversity, equity and inclusion. Suitable candidates with equivalent qualifications and more or less experience can apply. Rates of pay and salary ranges are dependent upon your experience, qualifications and training. If you wish to apply, please read our Privacy Notice describing how we may process, disclose and store your personal data: