Compliance Analyst, Edinburgh
- Salary N/A +
- LocationEdinburgh, Edinburgh
- SectorCompliance & Regulation
- Reference230539_1268041802
- PublishedMarch 8th 2010
Portfolio Compliance Analyst, Edinburgh,
£Excellent + Benefits
Ref: 230539
Our clients, a leading investment management firm, is looking for a Portfolio Compliance Analyst to join their team.
The role holder will monitor compliance with investment restrictions, maintain and improve systems and processes that will safeguard the department from the risk of non-compliance and assist on self assessment testing in conjunction with the investment adviser testing schedule.
Responsibilities include performing daily compliance analysis leveraging Charles River and various data management programs on a batch basis and performing required manual calculations and escalating the appropriate notification protocol to investment management personnel of any potential violations. In addition you will conduct back-end review of assigned accounts outlined in the account/fund review schedule, which will entail performing appropriate trade testing to validate test effectiveness and assessing current controls and processes, with the intent to improve efficiencies. You will also be responsible for completing forms and certification for final submission of board and client reporting and carrying out investment adviser compliance testing.
Candidates must have experience in compliance within financial sector and a knowledge of the investment management industry. You must also have an undergraduate degree or equivalent. A familiarity of applicable local securities legislation and fundamental understanding of applicable legislation is essential. Charles River experience is a must. You must be able to work well under pressure and have excellent communication skills.
Joslin Rowe - Winner of 4 UK Recruiter Awards including Best Accountancy/Financial Recruitment Firm and Best Office Support Agency.
Joslin Rowe is a Randstad company. Joslin Rowe Associates Ltd encourages applications from individuals from all backgrounds but candidates must be able to demonstrate their ability to work in the UK. Joslin Rowe Associates Ltd is acting as an Employment Agency in relation to this vacancy.
