Compliance Analyst- must have AIFM exposure

Compliance Professionals; London; On-site; GBP 40,000 - 60,000; Full time

Job summary

A leading company in alternative asset management is seeking an experienced Compliance Analyst to join their UK Compliance team. The role involves compliance monitoring, policy development, and regulatory guidance, requiring strong analytical and communication skills. Suitable candidates will have 2-3 years' experience in compliance with a solid understanding of key regulations.

Qualifications

• Experience within the Compliance function of an AIFM.
• Understanding of AIFMD regulations, MiFID II, and UCITS.
• Excellent initiative and ability to manage expectations.

Responsibilities

• Undertake testing in line with the Compliance Monitoring Programme.
• Assist in the development of policies and procedures.
• Provide regulatory guidance and perform KYC checks.

Skills

Regulatory guidance

Analytical abilities

Communication skills

Administration skills

Education

2-3 years' experience in Compliance

Job description

THE COMPANY: Our client is a specialist alternative asset manager, looking for an experienced Compliance Analyst to be part of their expanding UK Compliance team. THE RESPONSIBILITIES:

• 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 were 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

EXPERIENCE REQUIRED:

• The job holder will have gained around 2-3 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
• Excellent initiative and administration skills: proactively taking ownership of matters
• Strong verbal and written communication skills: externally and internally, including managing expectations proactively
• Excellent analytical and research abilities
• Excellent communication skills - able to communicate effectively and adapt to anyone within the broader team
• High level understanding of Risk in context of asset management

For further information please contact Spencer Evans