Financial Crime Analyst - Surrey, United Kingdom,
- To provide compliance and financial crime support to both Fund Managers Portfolio Managers with a particular focus on the regulations applying to financial promotions and other published materials.
- Preview financial promotions material produced by the Marketing Department to ensure compliance with all relevant regulations and accuracy of figures and drafting.
- Review and assess money laundering referrals for both private client and Funds business, as necessary
- Assist with implementation of the numerous Policies and Procedures relating to Financial Crime
- Update the unregulated CIS, eligible markets and sanctioned jurisdictions documents; providing analysis and conclusions, where appropriate.
- Practical appreciation of MAR, 4AMLD & JMLSG
- Check the investment & borrowing powers updates to the fund Prospectuses in line with COLL and FUND and other relevant regulations as appropriate; and checking the regular Quarterly Reports, including performance and other data.
- Assist in the maintenance, regular review and update of other legal documents including customer agreements, IFA terms of business agreements, ISA terms and conditions in conjunction with the Legal Team.
- Conduct review, investigation and analysis of breaches for both regulated entities including investment and borrowing breaches and liaising with Investment Managers and 3rd Party Administrators. Ensure that all incidents are recorded as appropriate; including ensuring remedial action is undertaken and completed. Recording all breaches through the appropriate internal mechanism.
- Assist in the analysis of the impact and implementation of new regulatory rules and guidelines.
- Monitor fund regulatory exposures remain COLL compliant via Bloomberg VMGR
- Assist with Credit Analysis reporting and due diligence of outsourced providers, managing and liaising with the outsourced provision for all executing Brokers, other third party suppliers and counterparties, as appropriate.
- Assist due diligence reviews of Third Party outsourced providers including investment managers, custodians and transfer agencies, as applicable; providing meaningful reports to Senior Management including conclusions of the findings.
- Providing training on the internal operational risk and breach platform
- Providing general support to the Compliance Senior Management and Chief Operating Officer through:
- Assisting in research connected with new products or projects;
- Assisting in the day to day management of agreed projects;
- Assisting in the production of regular and ad-hoc reports to the Compliance Officer;
- Assisting in the production of regular and ad-hoc reports to various Compliance and Risk related Committees;
- Assisting in the completion of the Compliance Monitoring Programme as business needs or cover require; and
- Maintaining up to date procedures.
- Ability to use own initiative to complete agreed tasks.
Experience / Knowledge
Experience of working in Compliance and Financial Crime in the finance industry, preferably in Investment Management.