Salary:

£55,000.00 - £65,000.00 / annum

Location:

London

Date posted:

14th August 2019

Employment type:

Permanent

Job reference:

06030-0011035555

Staffing area:

Financial Services


Description

Senior Compliance Analyst

Asset Management

£55K-£65K basic + benefits

London - Mayfair

Role Duties:

1. Implementing and managing SMCR for UK AIFM

2. Managing UK AIFM a. FCA reporting and communication (GABRIEL and Connect), b. FCA fees, c. controlled function appointments, removals, etc, d. AIFM board reporting including producing MLRO and annual compliance report and managing risk assessments (eg financial crime), e. undertake annual reviews of compliance policies f. managing regulatory references g. etc

3. Managing EU AML, ABC and Sanctions programme, including owning policies and procedures, undertaking due diligence and arrange delivery of training

4. Manage MiFID II policy suite for AIFM

5. Managing our compliance consultant, including budget

6. Managing conflicts process

7. Managing registers - G&H, conflicts, KYC etc

8. Managing annual declaration process

9. Run verification programme on fund launches

10. Manage fund marketing compliance process

11. Support on deal related compliance matters

12. Manage regulatory upstream risk - MLD5 etc

13. Manage delivery of compliance training

14. Maintain all compliance policies

Requirements:

You must have between 2 and 5 years compliance experience within asset management

Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. Where rates of pay or salary ranges are detailed these are dependent upon your experience, qualifications or training. If you wish to apply for this position please read our Privacy Notice which details how we may use, process, store and disclose your Personal Information: https://www.roberthalf.co.uk/privacy-notice.

Requirements
Compliance


London

10th Floor, The Shard
32 London Bridge Street
London
SE1 9SG
gb
0207 389 6900
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