Compliance Analyst (Front Office)
Competitive | London | Permanent
IQ Talent Solutions
Posted 21 days ago
Compliance Analyst - Front Office
IQ Talent Solutions are delighted to be working with one of our key asset management clients supporting with the recruitment of a Compliance Analyst to join their front office team
The purpose of the role is to assist the Compliance Manager in performing compliance activities, predominantly as they relate to the Front Office business and initiatives.
Duties & Responsibilities
* Assist in managing the compliance relationships with the front office CIOs, desk heads, portfolio managers, research analysts and traders.
* Provide clear and consistent technical advice and guidance to front office colleagues in respect of the FCA's rules, with a good understanding of COBS Chapter 11 (best execution and allocation).
* Proactively review the implications and impact of front office related regulatory change and assist in formulating policy, assisting the business in exploiting any commercial opportunities arising.
* Assist in day-to-day compliance oversight activities undertaken by the team as required including market soundings, management of the restricted list, advising on guideline restrictions, cross trade reviews, conflicts of interests, adherence to global codes (FX & money market), proxy voting and research.
* Provide compliance input into a range of projects / initiatives including new product launches, market abuse risk assessment and other development initiatives.
Skills & Experience
* Candidates will have a track record within an Asset Management environment with some experience of undertaking a compliance advisory role.
* Strong relationship skills with the ability to engage proactively with portfolio managers, traders and colleagues at all levels are a must for this role.
* A knowledge of the FCA's regulatory rules as they apply to investment management.
* Understanding of the asset management industry, and specific investment asset classes and products (notably, Fixed Income, FX, Absolute Return, Money Markets, OTC Derivatives) will be extremely desirable.
* You will ideally be educated to degree level and any professional qualifications such as IMC or CFA will be highly advantageous.
InterQuest Group is acting as an employment agency for this vacancy. InterQuest Group is an equal opportunities employer and we welcome applications from all suitably qualified persons regardless of age, disability, gender, religion/belief, race, marriage, civil partnership, pregnancy, maternity, sex or sexual orientation. Please make us aware if you require any reasonable adjustments throughout the recruitment process.