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Lutine Bell Ltd
,
London, Greater London
Compliance Monitoring Analyst
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Salary: From £55,000 to £65,000 per annum |
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Overview
• Assist with the businesses Compliance Monitoring Programme • Assist with preparation of monthly written report detailing the status of monitoring, issues identified and remedial action recommended. Assist with rolling review of the compliance monitoring programme to ensure that - all areas of the business are appropriately monitored; and - all changes to regulations are incorporated into the monitoring • Assist with planning and execution of internal thematic reviews • Assist due diligence reviews of Third Party outsourced providers including custodians, depositary and transfer agents, as applicable; providing meaningful reports to Senior Management including conclusions of findings. Liaise with external brokers as the Compliance Gatekeeper for Market Soundings conducted in line with the permitted arrangements set out in Market Abuse Regulation (MAR). Update insider lists and Bloomberg restricted lists. Carrying out cleansings of inside information. Filing of required notifications under the FCA Disclosure and Transparency Rules and those required by the Panel on Takeovers and Mergers This job was originally posted as www.totaljobs.com/job/89917004