AR Analyst

Department: AIFM

Employment Type: Full Time

Location: London

Reporting To: Senior Compliance Associate

DescriptionLangham Hall is hiring a new analyst in the Regulatory Hosting team to work on Appointed Representative (AR) services. We are a small and collaborative team so are looking for someone who will be a good team fit. This role gives ample opportunities to undertake client facing work and develop key skills in communication, teamwork and lateral thinking. Undertaking a pathway to obtaining professional qualifications is encouraged. Whilst the role description gives an indication of the key attributes and skills needed for this role, we focus on team fit and eagerness to learn, not a particular degree or amount of specific experience.

Key Responsibilities\nAdminister Appointed Representative services for a portfolio of clients acting in illiquid asset classes e.g. real estate, private equity.\nClient relationship management including ongoing multi-channel communication such as face-to-face, telephone and email\nUndertake and, in time, take control of the take on and risk assessment process for Appointed Representatives.\nCompletion of all relevant forms and liaison with the Financial Conduct Authority (“FCA”) in relation to the set-up of all Appointed Representatives and approved persons.\nOngoing monitoring and oversight of all Appointed Representatives – ensuring that your ARs are operating as normal and within the parameters of the regulation, entailing the review of compliance reports and quarterly financial accounts provided by the appointed representative. \nReview of marketing materials relating to investment products to ensure that the contents are compliant with regulatory standards. \nUpkeep of client-related tracking systems.\nWork collaboratively with team to discuss solutions regulatory issues or queries through research and discussion.\nAssist in projects to improve service offering.\nKeep abreast of regulatory changes which may impact the team or Appointed Representatives.\nUpdate of policies and procedures to ensure that they remain compliance and appropriate for the work the team does.\nAccurately document sensitive and or technical conversations between Appointed Representatives or their advisors and senior management, in relation to AR regime or relevant regulatory changes.\nEnsuring that all permanent files are adequately maintained for new and existing Appointed Representatives.\nDelivering work to the expected standard and timeframes.\n In addition to the duties listed above, the candidate may be requested to perform other ad hoc work from time to time.

Skills, Knowledge and Expertise\nEducation to degree level (2:1 and above desirable).\nPrevious experience in FCA regulation would be an advantage however is not essential.\nAn understanding of the principles of control frameworks and risk management processes.\nAbility to present information and respond to questions from within the team and from clients.\nExcellent attention to detail and an inquisitive mind-set.\nAbility to think laterally about the practical application of the FCA rules and regulations.\nAbility to solve practical problems and deal with a variety of situations for which there may be little precedent.\nAbility to work in a small team environment with focused and hardworking individuals.\nAbility to plan effectively and prioritise workload.\nThe individual must have excellent interpersonal, organisational and communication skill\nStrong numeracy and written communication skills.\nStrong MS Office skills.\n