Portfolio Compliance Analyst - Asset Management in City of London

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Job Description

New opportunity for a junior or mid-level Portfolio Compliance Analyst to join an expanding Compliance function.\n\nReport and work closely with the Head of Compliance & Operational Risk.\n\nClient Details\n\nUK Asset Manager. \n\nDescription\n\nReview and sign-off of investment financial promotions and related materials, including review of associated procedures.\nAttendance at the Investment Risk meetings and Compliance governance committees, including assembly of the pack and recording the minutes.\nConduct new joiner compliance inductions and deliver regulatory training where required.\nParticipation in SMCR oversight, including training and competence oversight (for Investments, Funds, Research, Business Development and Dealing teams).\nAwareness of new regulatory requirements and working with the business to develop and implement compliant solutions.\nWork in partnership with the business to improve processes and procedures to mitigate regulatory risk.Profile\n\nDemonstrable senior investment compliance experience.\nSignificant experience of the regulations pertaining to retail client communications.\nExcellent knowledge and understanding of regulatory requirements affecting a UK asset management and wealth management business.Job Offer\n\n£50k base salary.\n\nCompany benefits.\n\nHybrid working

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