Senior Compliance Analyst - Cross-Border & SEC

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 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.