Portfolio Compliance Analyst - Asset Management
- Review and sign-off of investment financial promotions and related materials, including review of associated procedures.
- Attendance at the Investment Risk meetings and Compliance governance committees, including assembly of the pack and recording the minutes.
- Conduct new joiner compliance inductions and deliver regulatory training where required.
- Participation in SMCR oversight, including training and competence oversight (for Investments, Funds, Research, Business Development and Dealing teams).
- Awareness of new regulatory requirements and working with the business to develop and implement compliant solutions.
- Work in partnership with the business to improve processes and procedures to mitigate regulatory risk.
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