Compliance Oversight Analyst

Job Overview

Compliance Oversight Analyst

This role requires at least 3 years’ compliance experience OR have Fund Operations UCITS/AIFS) experience. Ability to work independently, with minimal supervision.

Good knowledge of the regulatory environment in the UK Financial Services sector, as well as any knowledge of key relevant regulatory and statutory requirements, in particular COLL/COBS/FUND is highly desirable.

Your role is to assist the Compliance Oversight team in implementing an effective external oversight programme, which includes but not limited to investment managers and sponsors and provide regular reporting to the board of directors and senior management.

You will be a trusted business partner with the capacity to get things done, through persuasion, collaboration, and effective communication, taking the compliance monitoring from fruition to completion.

Basic salary from £28,0000 up to £42,000 depending on experience, plus annual bonus, non-contributory pension, 34 days holidays, exceptional benefits package, and career development.

This role will initially be home based with a view to returning to their offices in Bolton when possible.

Candidate

* Completion OR working towards the Investment Operations Certificate (IOC) – desirable

* Ability to work independently, with minimal supervision.

* Able to prioritise & work to strict deadlines and with strong attention to detail.

* Strong written and verbal communication skills

* Good stakeholder management, at all levels

* Persuasive by nature with strong influencing skills

* Good problem solver and numeric skills

* Good knowledge of Microsoft Excel, Word, and PowerPoint

Candidate Personal Qualities

* Able to communicate clearly with stakeholders at all levels, both internally & externally

* Flexible, adaptable approach to an ever changing environment

* Work collaboratively as part of a team

* Confident manner both written and verbally

* Positive attitude with flexibility and able to learn quickly

* Highly resilient

* Able to make a positive contribution to both the team and the company

Duties

* Supporting the Compliance Oversight Manager in undertaking the monitoring of outsourced functions through desk based monitoring and onsite visits.

* Provide guidance and support to outsourced functions to ensure they are operating in a manner consistent with the regulations, industry standards and our expectations.

* Proven experience of preparing regular reports to management on the outsourced functions, in particular highlighting any key risks or areas for concern.

* Communicate clearly with outsourced investment managers and sponsors in relation to regulatory change and industry standards to ensure any changes impacting have been implemented.

* Undertake additional projects as and when required

* Promote a strong compliant culture within the business, attend regulatory training.

* Assist with the update and maintenance of policies and procedures in relation to the oversight of outsourced functions ensuring that they reflect any regulatory changes or areas identified as high risk.

* Review and approve customer communications, including financial promotions

CV-Library

34 days hols, bonus and bens

BL1, Bolton, Greater Manchester

Full Time

 

Job Detail
  • Offerd Salary0- £15,000
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