Compliance Analyst - Transfer Agency

Job Type:
Job Sector:
Investment Funds - Transfer Agency, Compliance, Unit Trust & OEIC Administration
£35,000 to £45,000 per annum
Salary Description:
plus benefits
Job Ref:

A major Transfer Agency operation has an exciting new opportunity for a Compliance Analyst to join their growing business.  With experience in monitoring or identifying breaches within a Transfer Agency environment, you will be a key player in promoting compliance culture within the organisation.

Key Responsibilities:
 - Performing compliance monitoring reviews for the Transfer Agency business
 - Supporting senior management by providing assurance on Transfer Agency systems & controls
 - Ensuring that the risk system is maintained in conjunction with completed reviews
 - Risk event and breach reporting, liaising with the Transfer Agency business accordingly
 - Providing Transfer Agency compliance training and acting as a key point of contact for risk & compliance issues

The successful candidate will have a proven breach administration background gained within Transfer Agency.  You will have strong knowledge of the relevant compliance regulations applicable to the funds industry such as COLL, COBS & CASS.

An excellent opportunity for a Transfer Agency specialist.

Contact Details:
Tel: 01277 263578
Contact: Steve Johnson

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