10th June 2022

Compliance Analyst – Interim - £300 – £350 per day 3 – 6 Month Contract - Start Date June

UK Fund Management

A fantastic opportunity working for a niche Investment Management firm on a 3 - 6 month contract basis. 

Apply Now

Hiring Consultant

Katherine Lord

Partner, Head of Danos Consulting +44 (0) 207 010 1153 klord@danosconsulting.com View Profile

Responsibilities

  • Produce daily MI reports, monitor Takeover Panel changes, analyse custodian records.
  • Carry out daily best execution monitoring and market abuse checks on transactions and escalate concerns to Head of Compliance.
  • Maintain Personal Account Dealing and Gifts & Hospitality registers.
  • Carry out ongoing monitoring in accordance with the Compliance Monitoring Programme.
  • Produce quarterly assurance report on findings and advise Head of Compliance and Senior Management of adverse findings.
  • Analyse regulatory requirements for investment managers and outsourced service providers and review activities to test compliance.
  • Develop and update the Bloomberg and Dynamo analytical tools to improve assurance testing, including Bloomberg AIM compliance rules.
  • Carry out quarterly review and independent testing of Financial Control Framework procedures and recommend suggested process improvements.

Requirements

  • 5 years experience in Compliance – Asset Management sector.

 

Please reach out to Danos Consulting for further details. 

For all enquiries please email

info@danosconsulting.com

Compliance Analyst – Interim - £300 – £350 per day 3 – 6 Month Contract - Start Date June