Compliance Analyst

Job Summary

Job Description

What is the Opportunity?

The Compliance Analyst will join our RBC BlueBay Compliance Advisory team.

Providing advice and guidance on compliance related matters to RBC BlueBay and day-to-day support to the RBC BB Compliance Advisory UK Team.

What will you do?

Under the oversight of the Director, Head of RBC BlueBay Compliance Advisory UK, contribute to the functioning of RBC BB UK’s compliance programmes, including:

• Support the compliance team in maintaining the Restricted List of issuers on which BlueBay may hold inside information. This will include managing the Restricted List of companies on which BlueBay may hold inside information as a result of wall-crossing, pre-sounding of new issues, and new Confidentiality Agreements;
• Conduct conflict checks on potential investment opportunities and highlighting the identification of conflicts to the line manager for discussion;
• Maintain and updating policies and procedures on an annual and ad hoc basis to reflect changing business and regulations. These will specifically include the maintenance of the Front Office Handbook, conflict of interest policies and procedures and other investment related policies and procedures.
• Completion of periodic compliance certifications for clients in accordance with IMA reporting obligations;
• Completion of periodic compliance reporting for Fund Boards and other Committees;
• Conduct e-communication surveillance monitoring and highlighting any issues to the line manager for further review;
• Conduct market abuse surveillance and highlighting any issues to the line manager for further review;
• Carry out monitoring, testing and thematic reviews of business areas and highlighting any findings to the line manager.

What do you need to succeed?

Must have:

Experience / exposure to the following remits:

• UK/EU regulatory environment pertaining to asset management firms.
• FCA Handbook rules impacting the asset management sector.
• SEC Rule and Regulations impacting the asset management sector.
• Asset Management business activities and best practice.

What is in it for you?

We thrive on the challenge to be our best - progressive thinking to keep growing and working together to deliver trusted advice to help our stakeholders succeed, our clients thrive, and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

• A comprehensive Total Rewards Program including bonuses, flexible benefits, and competitive compensation.
• Leaders who support your development through coaching and managing opportunities.
• Opportunities to work with the best in the field.
• Ability to make a difference and lasting impact.
• Work in a dynamic, collaborative, progressive, and high-performing team.
• A world-class training program in financial services.
• Flexible working options fully supported.

RBC Group does not accept agency resumés.

Please do not forward resumés to our employees, nor any other company location. RBC Group only pay fees to agencies where they have entered into a prior agreement to do so and in any event do not pay fees related to unsolicited resumés. Please contact the Recruitment function for additional details.

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Additional Job Details

Address:

100 BISHOPSGATE:LONDON

City:

London

Country:

United Kingdom

Work hours/week:

35

Employment Type:

Full time

Platform:

WEALTH MANAGEMENT

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2024-09-24

Application Deadline:

2024-10-06

I nclusion and Equal Opportunity Employment

At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
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We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.

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