Compliance Analyst
- Employer
- Core Asset Consulting
- Location
- Edinburgh, UK
- Salary
- Competitive
- Closing date
- May 26, 2019
View more
- Job Role
- Compliance Accountant
- Sector
- Finance
- Contract Type
- Permanent
- Hours
- Full Time
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Job Description: An opportunity has arisen to join one of Core-Asset's leading investment firms as a Compliance Analyst working across the External Reporting and Policies, Training and Reporting teams. The role holder will report to the Compliance Manager and will work on a variety of tasks within the team, helping to ensure compliance with relevant legal and regulatory requirements. Essential: Graduate calibre IOC, IMC or any other Investment related qualification (desirable) Experience of working in Financial Services in a Compliance role Good working knowledge of Word and Excel Experience of working in the investment management sector (desirable) Core
Responsibilities:
Coordination and completion of scheduled and ad hoc regulatory notifications (including completing and submitting forms such as Form ADV, Form PF and other reporting and research). Provision of accurate and timely responses to client queries, for example due diligence questionnaires, request for information and any ad-hoc queries that arise. Maintenance of regulatory documentation, such as the Compliance Manual and Compliance Policies. Maintenance of team procedures and spreadsheets, including flowcharts and pivot tables. Involvement in specific business projects such as applications to new regulators and creation of new entities. Job reference: 11883 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
Responsibilities:
Coordination and completion of scheduled and ad hoc regulatory notifications (including completing and submitting forms such as Form ADV, Form PF and other reporting and research). Provision of accurate and timely responses to client queries, for example due diligence questionnaires, request for information and any ad-hoc queries that arise. Maintenance of regulatory documentation, such as the Compliance Manual and Compliance Policies. Maintenance of team procedures and spreadsheets, including flowcharts and pivot tables. Involvement in specific business projects such as applications to new regulators and creation of new entities. Job reference: 11883 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
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