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Our Client, a leading financial services group, is looking to recruit a Senior Compliance Analyst for their funds business with specific responsibilities as follows:
Approval of Financial Promotions and management of process
Management of attestation processes, including the FCA approved persons and SEC Access Persons of the firm
Review and sign off of issues and errors forms in conjunction with the risk team
Tracking of actions points and recommendations arising from monitoring reviews to ensure timely implementation
Undertake monitoring reviews in accordance with the Compliance Programme as required
Completion of ongoing surveillance monitoring as required
Completion of periodic regulatory reporting undertaken by Compliance
Input to periodic Compliance Reporting to boards and other governance Committee
You should have previous compliance experience including Financial Promotions from an Investment Management firm. Great opportunity to use such experience in a varied role working in small but friendly team and pick up new areas of knowledge e.g. SEC& Irish regulation and Alternatives Investment Funds. Full training provided where needed.
For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him at email@example.com
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge
Internal Number: 5575824
About Compliance Recruitment Solutions
eFinancialCareers is a career site specializing in financial services.