Compliance Analyst
- London
- Permanent
- Full-time
- Collaborative Environment: Work alongside key internal and external stakeholders, including ACDs, custodians, and fund boards, fostering a network of professional relationships.
- Impactful Work: Play a crucial role in maintaining the firm's compliance standards, directly influencing the firm's operational integrity and regulatory adherence.Role Objective:As a vital member of the Compliance team, the Compliance Analyst will support the firm in meeting its regulatory obligations and contribute to a strong compliance framework. This includes assisting in the execution of the Compliance Monitoring Programme, reviewing financial promotions and marketing materials, supporting regulatory change initiatives, and handling daily compliance tasks.Key Responsibilities:- Conduct testing in line with the Compliance Monitoring Programme, ensuring timely reporting and effective remediation of identified issues.
- Support the ongoing review and development of the monitoring programme to address regulatory risks.
- Review and escalate potential conflicts of interest in accordance with company policies.
- Assist in developing and maintaining compliance policies and procedures.
- Build effective working relationships with key stakeholders.
- Review and process compliance-related requests, including Personal Account Dealing, Gifts and Entertainment, and Outside Business Interests.
- Assist with KYC checks and sanction screening as required.
- Provide ad hoc regulatory guidance to the business.
- Monitor regulatory developments and assess potential impacts.
- Contribute to ad hoc projects and support wider team objectives.Skills & Experience:- 2-3 years of experience within the Compliance function of an AIFM-regulated firm.
- Working knowledge of AIFMD regulations.
- Understanding of MiFID II, UCITS, SMCR, and private equity operations.
- Strong initiative and organisational skills with the ability to manage multiple priorities.
- Excellent verbal and written communication skills.
- Strong analytical and research capabilities.Personal Attributes:- High attention to detail with strong time management.
- Reliable, efficient, and thorough in completing tasks.
- Proactive and driven with a positive attitude to learning.
- Able to manage workload effectively in a fast-paced environment.
- Collaborative team player with a commitment to collective goals.
- Strong problem-solving skills and sound judgment.
- Confident communicator capable of working across all levels of the organisation.This is an exceptional role for a compliance professional looking to make a significant impact within a leading alternative asset management firm. If you possess the skills and attributes outlined above, this could be the perfect next step in your career.