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Compliance Oversight Analyst

  • Location: Manchester
  • Salary: C. £40,000 + Benefits per year
  • Job Type:Permanent

Posted 7 months ago

  • Sector: Compliance
  • Contact: Paul Clayton
  • Contact Email:
  • Expiry Date: 21 January 2021
  • Job Ref: PC/16687(a)

The role will assist the oversight team in implementing an effective external oversight programme, including but not limited to investment managers and sponsors, and provide regular reporting to the board of directors and senior management.

Key responsibilities include:


  • Supporting the Compliance Manager in undertaking the monitoring of outsourced functions through desk based monitoring and onsite visits
  • Providing guidance and support to outsourced functions to ensure they are operating in a manner consistent with the regulations, industry standards and our expectations
  • Prepare regular reports to management on the outsourced functions, in particular highlighting any key risks or areas for concern
  • Communicate with outsourced investment managers and sponsors in relation to regulatory change and industry standard to ensure any changes impacting 
  • 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
  • Undertake additional projects as directed from time to time by the Compliance Manager

The Person:

  • Educated to degree level
  • Completed or working towards IOC (Investment Operations Certificate)
  • Previous experience in a similar role would be advantageous


Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.