Senior Compliance Analyst

Core-Asset Consulting Ltd; Greater London; On-site; GBP 60,000 - 90,000; Full time

Job summary

Core-Asset Consulting is recruiting a Senior Compliance Analyst to support cross-border distribution across UK and international markets. You will provide regulatory compliance and risk management advice, helping the business develop its international distribution strategy.

The role requires experience with MiFID, AIFMD, UCITS, and SEC oversight, plus strong communication with stakeholders and the ability to translate complex regulations into pragmatic guidance.

Qualifications

• Regulatory compliance experience in cross-border distribution.
• Strong knowledge of SEC regulatory requirements.
• Experience reviewing marketing materials and financial promotions for retail and professional audiences.
• Understanding of asset management and cross-border distribution regulatory regimes.
• Excellent written and verbal communication with diverse stakeholders.
• Ability to interpret complex regulatory rules and provide pragmatic advice.

Responsibilities

• Provide regulatory compliance and risk management advice on cross-border distribution requirements for new and existing jurisdictions.
• Maintain global distribution country guidance and advise the business.
• Support international distribution activities, licences, registrations and regulator reporting.
• Review and approve marketing materials for UK and international markets.
• Interpret MiFID, AIFMD, UCITS and overseas regulatory requirements for the business.
• Analyze complex regulatory requirements and escalate material issues when needed.
• Support regulatory change horizon scanning and reporting across markets.
• Support enterprise risk management activities and risk/event management.
• Contribute to project work and policy maintenance.
• Support risk and compliance reporting to regulators and stakeholders.
• Coordinate ongoing SEC registration-related compliance activities.

Skills

Cross-border distribution

SEC regulatory knowledge

Marketing materials review

Asset management knowledge

Stakeholder communication

Regulatory interpretation

Organizational skills

Proactive & accountable

Collaborative approach

Continuous learning

Integrity and ethics

Job description

Core-Asset Consulting is working with a leading asset management business to recruit a Senior Compliance Analyst.

This is an excellent opportunity for an experienced compliance professional with a strong background in cross-border distribution.You will provide regulatory compliance and risk management advice across UK and international markets, supporting the business as it develops its international distribution strategy.

Previous regulatory experience across Europe, Asia and the Middle East and SEC regulatory experience is essential.

Skills/Experience

• Significant experience advising on cross-border distribution.
• A strong understanding of SEC regulatory requirements.
• Experience reviewing and approving marketing materials and financial promotions for retail and professional audiences.
• A good understanding of the asset management business model and cross-border distribution regulatory requirements.
• Strong written and verbal communication skills, with the ability to manage relationships effectively with a range of stakeholders.
• The ability to interpret complex regulatory requirements, exercise independent judgement and provide pragmatic, commercially aware advice while maintaining appropriate regulatory standards.
• Strong organisational skills and the ability to manage multiple priorities effectively.
• A proactive and accountable approach, with the confidence to escalat[e] issues and concerns where appropriate.
• A collaborative approach, with a willingness to share knowledge and contribute to the wider team.
• A commitment to continuous learning and developing technical knowledge and skills.
• A conscientious and professional approach, with a strong focus on integrity and high ethical standards.

Core Responsibilities

• Providing regulatory compliance and risk management advice on cross-border distribution requirements for new and existing target jurisdictions.
• Maintaining global distribution country guidance, including creating new guidance and providing associated advice to the business.
• Supporting the operation and ongoing oversight of international distribution activities, including regulatory licences and registrations and reporting to overseas regulators.
• Reviewing and approving marketing materials and financial promotions for UK and international markets, covering both retail and professional audiences.
• Interpreting regulatory rules and providing advice on UK and international requirements, including MiFID, AIFMD and UCITS, as well as requirements imposed by overseas regulators.
• Analysing complex regulatory requirements, exercising sound judgement, constructively challenging the business and escalating material issues where appropriate.
• Supporting regulatory change horizon scanning, assessment, implementation and reporting across UK and international markets.
• Supporting the ongoing operation of the firm's enterprise-wide risk management framework and associated processes, including Risk & Control Self-Assessments, Key Risk Indicators, conflicts of interest record keeping and risk event management.
• Contributing to project work as required.
• Supporting the maintenance of risk and compliance policies, procedures and guidance.
• Contributing to the review and resolution of risk events and regulatory compliance breaches.
• Supporting regular and ad-hoc Risk & Compliance reporting to key internal and external stakeholders, including regulators.
• Supporting the firm's plans relating to registration as an SEC Investment Adviser and taking a lead role in coordinating ongoing compliance activities associated with any future registration.

Core-Asset Consulting is an equal opportunities recruiter and we welcome applications from everyone irrespective of age, disability, gender, gender identity or expression, race, colour, ethnic or national origin, sexual orientation, religion or belief, marital/civil partner status or pregnancy.

To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.

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Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.