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Compliance Analyst

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Salary £40k to £50k
Type Permanent
Location London
Sector Compliance
Job Reference T3A/AXP/27146
Contact Adam Pollard
Date posted 06-10-2017

BRUIN Financial is currently working with a boutique investment bank that is looking for a Compliance Analyst to join their team. The successful candidate will work directly with CCO to ensure company adheres to laws and regulations, guidelines and procedures relevant to the business.
As a Compliance Analyst your responsibilities will include:
• Compliance testing and monitoring review
• Assist CCO with drafting and updating policies and procedures
• Monitor investment guidelines breaches
• Manage regulatory filings with FCA, SEC and other jurisdictions

The successful incumbent requires:
• Good university degree and A levels
• Notable compliance experience /audit experience
• Compliance experience in asset management industry an advantage
• Knowledge of FCA and US SEC rules

For more information please contact Adam Pollard on 02031453348 or adam.pollard@bruinfinancial.com

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Contact Adam about this job

Associate, Consultant