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Core Asset Consulting
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Edinburgh, City of Edinburgh
Senior Compliance Analyst
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Contract Type: Permanent |
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Overview
Job description: One of Core-Asset's clients, a boutique asset management house, are seeking an experienced compliance professional who will need to work closely with the firm's Operations Team, the investment team and key third parties. The successful candidate will be expected to deliver best practice, and strong governance with respect to all regulatory compliance requirements across all areas and functions of the business, support the work of the CEO and CCO ensuring the efficient operation of all non-investment related elements of the business and support the CEO, CCO and the Board from a strategic perspective in optimising overall company profitability. This is an excellent varied permanent opportunity and the role holder must have 2-5 years compliance experience, ideally from asset management. Core responsibilities: Provide supporting advice to the CEO and CCO from a legal and compliance perspective with the implementation of new business and corporate opportunities Dealing with all legal and contractual aspects of client take-on (institutional, wholesale and private client) as directed by the CEO and CCO As indicated by the CEO and CCO, directing the affairs of the company from a compliance perspective in accordance with all relevant regulatory and statutory requirements Ensuring the development of all compliance, risk and related policies Managing the relationship with the FCA and SEC including ensuring all regulatory and statutory returns are prepared and filed in line with established timetables Review the firm's FCA financial adequacy ICAAP resources and related financial requirements Ensuring recent updates and changes to any best practice compliance standards/policies and procedures are correctly implemented and articulated Providing internal compliance assistance on all relevant matters, ensure that all operating areas of the business comply fully with all relevant FCA, SEC and CSSF regulations and other legal requirements Managing relationships with key external service providers including: lawyers, compliance consultants, insurance brokers, custodians, administrative companies of the client's funds, and administrators of the client's segregated client accounts Acting as a key link with the firm's UK based UCITS, ensuring adherence to all reporting and compliance issues Act as alternate for issuing approval for all financial promotional materials and other external communication with respect to the selling of fund products via UK platforms, third party marketers and consultants Assisting in production of reports to the Board and Risk & Compliance Committee on all risk and compliance issues Maintaining an appropriate operational risk framework for the business Essential: Strong understanding of the legal and regulatory requirement in which an investment management company operates Detailed knowledge of compliance, risk and internal audit techniques and issues Broad working knowledge of corporate legal and tax issues Commitment to Continuous Professional Development in order to remain competent within the FCA and SEC requirements High level of integrity and confidentiality Ability to lead, plan and manage change Strong organisational skills Strong negotiation skills Proactive attitude, demonstrated initiative Adaptable Motivated and results orientated Ability to work individually and as part of a team High levels of interpersonal and negotiation skills Excellent presentation and communication skills Benefits: Competitive remuneration package based on experience Job reference: 12648 To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006. At Core-Asset, we're committed to protecting and respecting your privacy. Our privacy statement explains when and why we collect personal information about people who engage with our services, how we use it, the conditions under which we may disclose it to others, and how we keep it secure. We may change this policy from time to time, so please check this policy occasionally to ensure that you're happy with any changes. By engaging with us (either by applying for a job we're advertising, registering through our website, or getting in touch with our business) you're agreeing to be bound by this policy. Core-Asset Consulting is committed to protecting the privacy of our candidates, clients and website users. For further information, please refer to our full Privacy Statement available on our website