Compliance Analyst
The Company
Robert Half Financial Services Group are looking for a Compliance Analyst to join a highly dynamic organisation, driven by an entrepreneurial culture. The company has approximately 400 staff based in London, Dublin, Bermuda, Hong Kong, Spain and Switzerland. We are seeking to recruit an additional team member to join the retail compliance team. You will be responsible for conducting periodic monitoring, primarily in relation to transfer agency for a range of UK authorised collective investment schemes. This will involve oversight of internal departments as well as third party administrators (IFDS).
The Role
Key Responsibilities Scoping and timely completion of compliance reviews as per the monitoring programme Reporting promptly and comprehensively any deficiencies or breaches in relevant business area procedures, and working with the business area to ensure that any issues are addressed promptly Conducting enquiries/ investigations into suspicious activity reports re. fraud/ AML, as submitted by our administrators Review of AML exception reports Providing interpretation and guidance to the business on rule changes The position requires a candidate with an understanding of the FSAs COB, COLL and CASS sourcebook rules, and in particular how they apply to transfer agency activities, together with knowledge of the anti-money laundering regime/ requirements. An awareness of current industry developments as well as a good understanding of unit trusts and OEICs, PEPs and ISAs is necessary. There is likely to be scope to become involved in other aspects of retail compliance such as fund accounting and retail admin monitoring, as well as providing cover for the compliance marketing team, subject to experience. Candidates should have at least 2 years relevant compliance experience, including monitoring of transfer agency activities for UK authorised schemes. Experience / Skills Technical Minimum A level education or equivalent. Working Knowledge of Microsoft Suite
Salary & Benefits
£45,000 - £48,000
Robert Half International will only consider applicants who hold the required visas for work in the United Kingdom. Robert Half Ltd is acting as both an employment business and an employment agency.
Salary: £45000 - £48000 per annum
Contact Name: Samantha Bullion
Email: samantha.bullion.67117.559@rhi.aplitrak.com
Phone: 0207 562 6500