Jobs
Compliance Analyst
Posted 4 days ago London - United KingdomPermanent
Job Reference: 9502
Are you ready to elevate your career in compliance within the dynamic world of alternative asset management? A prestigious specialist alternative asset manager is seeking a dedicated Compliance Analyst to join their team. This role offers a unique chance to contribute to a robust compliance framework and ensure the firm meets its regulatory obligations.
Why This Role Stands Out:
- Professional Growth: Engage with a variety of compliance tasks, from monitoring programmes to regulatory change initiatives, providing a broad scope for professional development.
- 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.
Why This Role Stands Out:
- Professional Growth: Engage with a variety of compliance tasks, from monitoring programmes to regulatory change initiatives, providing a broad scope for professional development.
- 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.
Apply Below Now !
Consultant
Patty Swirydowicz
Patty Swirydowicz