Lutine Bell are supporting a Global Asset Manager looking to appoint a Compliance Analyst. This role offers opportunities for development and progression.
Responsibilities:
Assist with the timely completion of the firm's Compliance Monitoring Programme, conducting monitoring and surveillance checks of the front office and wider business to identify and escalate any incidents, errors, and breaches.
Recording, and tracking to resolution any associated Compliance Actions.
General support to the Head of Compliance Monitoring, Head of Compliance Advisory, Chief Operating Officer and Director of Compliance & Legal, as required.
Provision of open and proactive dialogue, with key business stakeholders.
Research connected with new products or projects as required.
Assist with the day-to-day management of agreed projects.
Maintain a strong understanding of changes in regulatory requirements.
Assist to continuously develop the monitoring/surveillance programme and methodology.
Maintaining up to date desk-based procedures.
Timely completion of Regulatory training.
Promote a culture of compliance.
Requirements :
Proven experience of working in monitoring/surveillance within the financial services industry.
Comprehensive knowledge of regulatory standards within the FCA handbook (specifically COBS and COLL rules).
Location:
London (hybrid working)
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London (hybrid working)
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