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Form of workJob Description
Our client is an exciting Energy Investment company based in London, and this role provides the incumbent with a unique opportunity to join this dynamic and ever-changing business.
Our client has two core functions: Investment Function representing Front Office Trading; and Non-Investment Function representing running of the business and is responsible for defining and implementing an effective operational and risk framework across all functions. This area includes: Business Management, Risk, Operations, Compliance, Human Resources, Technology
The Compliance Monitoring Analyst role is within the Non-Investment Function, reporting to the Chief Operating Officer.
The successful candidate will join a small, high-profile team tasked with investment management service to clients.
RESPONSIBILITIES:
- Compliance monitoring in accordance with regulatory and internal standards
- Market Abuse Monitoring
- Conducting reviews of trading including best execution in relation to portfolio's
- Reviewing trades on regulated funds for compliance with requirements
- Regular checks on portfolios for compliance with suitability requirements
- Reviewing PA dealing to ensure in accordance with requirements
- Reviewing Financial Promotions to ensure clear, fair and not misleading
- Assisting with FCA returns
- Monitoring compliance with Training and Competence requirements
- Supporting and/or providing Compliance training to staff
- Compilation of various management reports
- General Compliance administration
- Projects and ad-hoc tasks as required by management
- Attend meetings and prepare minutes when required
- Prepare updates of compliance documentation
- Assist with responses to complaints
- Deal with responses to due diligence requests on the Company
REQUIREMENTS:
- Prior financial services experience, preferably in an investment or platform-based environment
- At least 2 years experience in compliance, ideally within areas of Investment compliance (buy-side or sell-side) or a consultancy firm
- A good understanding of FCA rules and their application
- Strong Trade Surveillance experience
- Knowledge of Market Abuse Regulation
- Proficiency in Microsoft Office (Excel/Word)
