Boutique Asset Management firm is currently looking for a contract to permanent compliance analyst to join their team. This is an opportunity to be part of a dynamic company who are looking to look work in a different way to traditional asset management firms.
This job will be reporting to the COO and working on compliance and legal matters in a multi-regulated environment including both the FCA, the SEC, ASIC and the Central Bank of Ireland. Key responsibilities include:
- Working on the compliance monitoring programme and looking at MIFID II, best execution and inducements.
- Reviewing pre & post trade portfolio investment guidelines and restrictions.
- Reviewing financial promotions to make sure they are in line with COBS.
- Assisting in creating both regulatory compliance and financial crime reports.
- Carrying out various FCA filings
- Develop and maintain the firm's compliance manual.
The ideal candidate will have prior experience within an asset management firm and worked in a broad compliance generalist role. You will have covered compliance monitoring, MIFID II and best execution.
If you feel you have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Lauren Stutz at Twenty Recruitment.
Twenty Recruitment's Compliance & Governance function are a team of specialist consultants covering Financial Crime Compliance, Regulatory Compliance & Operational Risk mandates, both permanent and temporary, across Financial Services, Technology and Energy.