Senior Compliance Analyst

Find Apprenticeships; London; On-site; GBP 45,000 - 65,000; Full time

Job summary

An elite investment management business is seeking a compliance team member. This role offers a varied compliance experience includes post-trade monitoring, project work, and regulatory reporting. Ideal for a graduate eager to advance in their compliance career, the position demands strong communication skills and relevant experience.

Qualifications

• 2-4 years of compliance experience from a hedge fund, asset manager, or wealth manager.
• Desire to study for qualifications like CISI Certificate in Investment Compliance.

Responsibilities

• Post-trade compliance monitoring and project involvement.
• Implementing Compliance Monitoring Plan and preparing regulatory reports.
• Conducting training and reviewing marketing material.

Skills

Compliance experience

Excellent communication skills

Education

Relevant compliance qualifications

Job description

An exciting opportunity has arisen to join the growing team of an elite investment management business that we have partnered with.

The role will be part of the compliance team and will allow you exposure to a wide range of exciting compliance work, projects, and asset classes.

The role will be broad and varied including:

• Post-trade compliance monitoring;
• Implementation of the Compliance Monitoring Plan (CMP)
• Reviewing marketing material;
• Conducting compliance related training;
• Assisting with personal account dealing and gifts policies;
• Preparing and submitting regulatory reports;
• Ad hoc compliance projects

Skill Set Required:

• 2-4 years of compliance experience is required, gained working for a hedge fund, asset manager or wealth manager.
• This role is ideally suited to a graduate looking to make the next step in their compliance career.
• Excellent communication skills, both written and verbal.
• Relevant qualifications, or desire to study for one (e.g., CISI Certificate in Investment Compliance)

For more information on this role please contact tom.sullivan@