Compliance Analyst - Asset Management

Key responsibility for maintaining the compliance and AML frameworkThis is a busy and business facing role requiring a degree of autonomy, within a successful and dynamic investment management business.Working in partnership with the business teams and senior management in each officeKey Responsibilities:Compliance monitoringUndertake the compliance monitoring programme, report on findings, make recommendations and ensure they are successfully implementedAssist in continuous development of compliance monitoring programme, leveraging the use of technology and analyticsMaintain the compliance monitoring programmeKYC and sanctionsConduct KYC and sanctions screeningCoordinate and conduct initial and periodic AML checks on clients and deal counterpartiesDraft reports to the Board and the Global AML Committee on AML issuesSMCRMaintain the register of Certified PersonsAdminister and oversee the annual certification processOversee the prompt and proper creation and maintenance of key SMCR documentationCompliance FrameworkAssist with the implementation of new FCA rules & UK regulatory requirementsAssist in drafting the FCA returnsAssist in drafting the periodic reports to the BoardMaintain key documents, policies and procedures, databases and registersAdvice and TrainingProvide advice on policies and procedures to colleagues from investment management, asset management and other departmentsRespond to questions relating to compliance systems and assist in resolution of technical queriesAssist in development and delivery of compliance trainingRequired Qualifications & ExperienceDegree in Law, Finance or Risk Management1-2 years of experience in compliance from an asset manager is essential - please only apply if you meet this criteria