Compliance Analyst - Investment Management

Austin Andrew; Greater London; On-site; GBP 40,000 - 60,000; Full time

Job summary

A global asset management firm is seeking a Compliance Analyst to support its Compliance team. Responsibilities include testing compliance, developing relationships with internal parties, and reviewing compliance requests. Candidates should have around 2 years of compliance experience, preferably within an AIFM, with knowledge of AIFMD regulations, MiFID II, UCITS, SMCR, and private equity.

Qualifications

• Around 2 years of experience within the Compliance function of an AIFM.
• Ideal experience includes AIFMD regulations, MiFID II, UCITS, SMCR, and private equity.

Responsibilities

• Undertake testing in line with the Compliance Monitoring Programme.
• Review and develop the program to capture regulatory risks.
• Ensure potential conflicts of interest are escalated appropriately.
• Develop relationships with internal and external parties.
• Review and approve day-to-day compliance requests.

Skills

Compliance experience

Understanding of AIFMD regulations

Knowledge of MiFID II

Knowledge of UCITS

Knowledge of SMCR

Job description

Compliance Analyst - Investment Management

Our client is an AIFM global asset manager. The role involves supporting the Compliance team to achieve its goals, including reviewing financial promotions and marketing material for regulatory compliance, assisting with the Compliance Monitoring Programme, and helping or leading on regulatory change projects.

Key Responsibilities/Accountabilities

• Undertake testing in line with the Compliance Monitoring Programme, working with the business on issues identified to ensure they are reported and remediation is completed where needed. Review and develop the program to ensure regulatory risks are captured.
• Ensure potential conflicts of interest are reviewed and appropriately escalated and recorded in line with Policies and Procedures.
• Assist in the development of policies and the establishment of reviews of procedures and policies where needed.
• Develop relationships with all relevant internal and external parties (such as ACD, custodians and various fund boards and committees) to ensure a culture of continuous improvement.
• Be responsible for reviewing, recording and approving day-to-day compliance requests such as PA Dealing, Gifts and Benefits, Outside business interests.
• Assist the team by undertaking KYC, identification and sanction screening checks where required.
• Assist the business by providing regulatory guidance where required.
• Stay informed of regulatory developments and how they would impact on the business.
• Carry out other duties and projects as and when required in line with team objectives.

Skills & Experience

• The job holder will have gained around 2 years’ experience within the Compliance function of an AIFM.
• Experience of AIFMD regulations.
• An understanding of MiFID II and UCITS, SMCR and private equity would be ideal.

Seniority level

• Associate

Employment type

• Full-time

Job function

• Analyst

Industries

• Investment Management and Venture Capital and Private Equity Principals