Compliance Associate

Taylor Root; Greater London; Hybrid; GBP 60,000 - 90,000; Full time

Benefits offered by this job

Discretionary bonus

Hybrid working model

Exposure to senior stakeholders

Job summary

Taylor Root is seeking a Compliance Associate for its London-based compliance team. This role supports UK and global compliance activities and collaborates with front-office, operations, technology and legal stakeholders.

The ideal candidate will have 4–8 years of compliance or related experience in asset management or financial services, with strong knowledge of financial markets regulation and controls. Hybrid work model offered.

Qualifications

• 4–8 years' compliance, regulatory or financial crime experience within an asset manager, investment bank, hedge fund or other regulated financial services environment.
• Experience supporting trading or investment teams in a compliance advisory capacity.
• Strong understanding of financial markets regulation and compliance controls.
• Experience with UK and European short position disclosure regimes (desirable).
• Exposure to MiFIR transaction reporting requirements (desirable).

Responsibilities

• Manage regulatory reporting and disclosures, including short and long position reporting and MiFIR transaction reporting.
• Process market soundings, early-look meeting requests and Regulation M reviews.
• Maintain and administer restricted lists and related trading controls.
• Conduct compliance monitoring activities across communications, trading activity and best execution.
• Support Fitness & Propriety reviews under the FCA Certification Regime.
• Review and document trading errors and related remediation actions.
• Provide regulatory and policy guidance to front-office and business stakeholders.
• Assist in the delivery of compliance training programmes.
• Contribute to compliance monitoring reviews and ad hoc regulatory projects.
• Partner with technology, operations and IT teams on daily compliance processes and controls.
• Monitor domestic and international regulatory developments and assess potential business impact.

Skills

Regulatory reporting

MiFIR

Regulatory compliance

Front-office advisory

Regulatory monitoring

Regulatory developments

Job description

A leading alternative investment management business is seeking a Compliance Associate to join its London-based compliance team.

This is an excellent opportunity for a compliance professional looking to broaden their exposure across a wide range of regulatory and advisory responsibilities within a sophisticated investment management environment. Reporting into senior compliance leadership, you will play a key role in supporting both UK and global compliance activities while working closely with front-office, operations, technology and legal stakeholders.

Key Responsibilities

• Manage regulatory reporting and disclosures, including short and long position reporting and MiFIR transaction reporting.
• Process market soundings, early-look meeting requests and Regulation M reviews.
• Maintain and administer restricted lists and related trading controls.
• Conduct compliance monitoring activities across communications, trading activity and best execution.
• Support Fitness & Propriety reviews under the FCA Certification Regime.
• Review and document trading errors and related remediation actions.
• Provide regulatory and policy guidance to front-office and business stakeholders.
• Assist in the delivery of compliance training programmes.
• Contribute to compliance monitoring reviews and ad hoc regulatory projects.
• Partner with technology, operations and IT teams on daily compliance processes and controls.
• Monitor domestic and international regulatory developments and assess potential business impact.
• 4–8 years' compliance, regulatory or financial crime experience gained within an asset manager, investment bank, hedge fund or other regulated financial services environment.
• Experience supporting trading or investment teams in a compliance advisory capacity.
• Strong understanding of financial markets regulation and compliance controls.

Highly Desirable

• Experience with UK and European short position disclosure regimes.
• Exposure to MiFIR transaction reporting requirements.
• Familiarity with trade surveillance, monitoring and front-office advisory work.

Personal Attributes

• Strong analytical and problem-solving skills.
• Exceptional attention to detail.
• Excellent written and verbal communication abilities.
• Confident interacting with front-office professionals and senior stakeholders.
• Self-motivated with the ability to manage competing priorities.
• Strong organisational and teamwork skills combined with the ability to work independently.

What's on Offer

• Discretionary bonus.
• Hybrid working model with flexibility.
• Significant exposure to senior stakeholders and investment professionals.
• A collaborative and high-performing team environment with strong opportunities for long-term career development.