Compliance Analyst – Interim
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
- 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.
- 5 years experience in Compliance – Asset Management sector.
Please reach out to Danos Consulting for further details.