Austin Andrew

Compliance Analyst - AIFM experience ESSENTIAL

Posted: 12 hours ago

Job Description

Our client manages close to £10billion AUM , employing in excess of 200 staff from its City of London officesThe role can include (but not limited to) assisting with reviewing financial promotions and marketing material to ensure the firm meets its regulatory responsibilities, working with the team on undertaking the Compliance Monitoring Programme, and helping or leading on regulatory change projectsKey Responsibilities/ AccountabilitiesUndertake testing in line with the Compliance Monitoring Programme, working with the business on issues identified to ensure they are reported, and remediation is completed where needed. Review and develop the program to ensure regulatory risks are capturedEnsure potential conflicts of interest are reviewed and appropriately escalated and recorded in line with Policies and ProceduresAssist in the development of policies and the establishment of reviews of procedures and policies where neededDevelop relationships with all relevant internal and external parties (such as ACD, custodians and various fund boards and committees), to ensure a culture of continuous improvementBe responsible for reviewing, recording and approving day-to-day compliance requests such as:PA DealingGifts and BenefitsOutside business interestsAssist the team by undertaking KYC, identification and sanction screening checks were requiredAssist the business by providing regulatory guidance where requiredStay informed of regulatory developments and how they would impact on the businessCarry out other duties and projects as and when required in line with team objectivesSkills & ExperienceThe job holder will have gained experience within the Compliance function of an AIFMExperience of AIFMD regulationsExcellent initiative and administration skills: proactively taking ownership of mattersStrong verbal and written communication skills: externally and internally, including managing expectations proactivelyPlease note - the firm seeks a candidate who is happy to be in the office for four days per week

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