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London, United Kingdom 

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€0.00 - €0.00

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Job Description:

Job description:

Core Asset Consulting are recruiting on behalf of a rapidly expanding Asset Manager for a Compliance Analyst based in their office in Central London.

This exciting and newly created position will involve working closely with the head of compliance and other senior members of the company. Whilst the focus of this role is asset management it is also expected that there will be a degree of exposure to the broader investments business.

The work will involve all aspects of compliance from policy, implementation and monitoring in addition to ad hoc assignments as required. The company has a flat structure and this role would suit somebody who enjoys affecting positive change to ensure maximum working efficiency.

Core responsibilities:

* Providing assistance to the Compliance Manager in preparing departmental management information for the quarterly board meetings / ad hoc senior manager meetings.
* Supporting other teams (including finance, operations, marketing, investment management), dealing with queries from other departments and other ad-hoc tasks as required.
* Assist with regulatory project work: MiFID II / MiFIR implementation; Senior Managers & Certification Regime; Solvency II; PRIIPS etc.

Third Party Marketing

* Required to assist with the due diligence/take-on process of third party funds.
* Required to review regulatory requirements in order to market third party funds in different jurisdictions, including local fund registration requirements.
* Lead role internally re documentation of distribution and non-disclosure agreements to be signed with external managers.
* Input to the CRM and maintain documents required for compliance such as prospectus, DDQ and presentations.
* Main legislation: FSMA; MiFID II

Property REIT (AIF)

* Assist with quarterly reporting to independent fund board of directors.
* Maintain Insider Lists, including PDMR and PCA documentation.
* Oversee FCA notifications required under Dealing Code.
* Main legislation: FSMA; AIFMD; MAR


* Ability to demonstrate 2 years compliance experience working in an asset management buy side firm.
* Basic knowledge of MiFID 2, UCITS and AIFMD.
* Excellent interpersonal skills and the ability to influence at all levels from operational to executive.


* Competitive Salary
* Pension Contribution
* Discretionary Bonus

Job reference: 10351

To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.

Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.

Company Info
Core-Asset Consulting
37 Melville Street
Edinburgh, Midlothian, United Kingdom
Phone: 0131 718 4600
Web Site: www.core-asset.co.uk
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