Compliance Oversight Analyst

Remote Working

As a Compliance Oversight Associate, you will have the capacity to get things done through persuasion, collaboration, and effective communication, able to work independently, with minimal supervision, remote working.

As part of the compliance oversight team, you will implement an effective external oversight programme, which includes but not limited to investment managers and sponsors and provide regular reporting to the board of directors and senior management.

You will have compliance oversight experience working with third parties or fund operations UCITS/AIFS experience, any knowledge of the following would be highly beneficial: regulatory environment in the UK Financial Services sector, knowledge of key the relevant regulatory and statutory requirements, in particular COLL/COBS/FUND, completion or will to work towards the Investment Operations Certificate (IOC), (full training will be given with study leave).

Basic salary between £40,000 up to £50,000 depending on experience, annual bonus, 9% non-contributory pension, 34 days holidays, exceptional benefits package, and career development.


* Able to communicate clearly with stakeholders at all levels, both internally & externally

* Ability to work independently, with minimal supervision.

* Able to prioritise & work to strict deadlines and with strong attention to detail.

* Strong written and verbal communication skills

* Good stakeholder management, at all levels

* Persuasive by nature with strong influencing skills and good problem solving and numeric skills

* Good knowledge of Microsoft Excel, Word, and PowerPoint


* Supporting the compliance oversight manager in undertaking the monitoring of outsourced functions through desk based monitoring and onsite visits.

* Provide guidance and support to outsourced functions to ensure they are operating in a manner consistent with the regulations, industry standards and our expectations.

* Proven experience of preparing regular reports to management on the outsourced functions, in particular highlighting any key risks or areas for concern.

* Communicate clearly with outsourced investment managers and sponsors in relation to regulatory change and industry standards to ensure any changes are implemented.

* Undertake additional projects as and when required

* Promote a strong compliant culture within the business, attend regulatory training.

* Assist with the update and maintenance of policies and procedures in relation to the oversight of outsourced functions ensuring that they reflect any regulatory changes or areas identified as high risk.

* Review and approve customer communications, including financial promotions
Barnsley, United Kingdom, gb
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