Compliance Analyst | Asset Management | 40k-50k + bonus
- Conduct compliance monitoring and testing in line with the Compliance Monitoring Programme, ensuring issues are reported and remediated, and the programme is regularly reviewed for regulatory coverage.
- Oversee day-to-day compliance approvals, including personal account dealing, gifts and benefits, and outside business interests.
- Contribute to global regulatory processes, including EMIR/SFTR/MiFIR reporting, and maintaining regional asset registers.
- Assist with investigations, breach remediation, and maintaining registrations, compliance calendars, and risk registers.
- Manage conflicts of interest by reviewing, escalating, and recording them in accordance with internal policies and procedures.
- Support policy and procedure development, including drafting and reviewing documentation to ensure regulatory alignment.
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