At a Glance
- Tasks: Ensure compliance with regulations and support risk management initiatives in a dynamic environment.
- Company: Join a leading investment management firm focused on private markets.
- Benefits: Enjoy flexible working, competitive pay, and benefits that meet market standards.
- Other info: Great opportunity for career growth in a supportive team.
- Why this job: Make a real impact by ensuring compliance and supporting innovative financial solutions.
- Qualifications: 2-5 years of experience in Compliance and AML within financial services.
The predicted salary is between 28800 - 48000 £ per year.
We are seeking an experienced and proactive Compliance Associate/Manager to join our Compliance team. This role focuses on ensuring the firm meets its regulatory obligations, monitoring compliance, maintaining policies and registers, and supporting risk management initiatives. The successful candidate will be involved in a wide range of regulatory compliance and anti-money laundering matters, supporting the development of robust systems and controls, and ensuring that these evolve in line with regulatory developments and business needs.
Responsibilities
- Regulatory Registers & Reporting: Coordinate with internal stakeholders to ensure that all required filings and notifications are prepared accurately and submitted on time. Maintain the Global Regulatory Licensing and Global Regulatory Reporting registers.
- Support the Global Head of Compliance in the periodic review and implementation of compliance policies and procedures. Maintain accurate records and version control of approved policies, ensuring timely communication and implementation across the business.
- Conflicts & Conduct Oversight: Administer the firm’s Conflicts of Interest processes, including Personal Account Dealing, Gifts & Entertainment, Outside Business Activities and MNPI Registers. Monitor adherence to internal conduct rules and elevate any exceptions or breaches as appropriate. Support the execution of AML/KYC controls and client due diligence checks. Review marketing and client materials for compliance with applicable regulatory requirements. Execute the periodic Compliance Monitoring and Testing program, ensuring findings are documented and follow-up actions tracked. Assist in ongoing surveillance of trading, communications, and conduct matters. Coordinate the annual compliance training program, monitor completion rates, and follow up on overdue training. Support ad-hoc compliance awareness initiatives across the business.
- Regulatory Change & Advisory Support: Maintain the Regulatory Change Management Register and track relevant updates. Support impact assessment and implementation of required changes under the direction of the Global Head of Compliance.
- Ad-hoc & Administrative Support: Provide support for regulatory inspections, audits and internal reviews. Undertake other compliance-related tasks and projects as directed by the Global Head of Compliance.
Job Requirements
- Demonstrable generalist/focused experience in Compliance and AML matters (2 to 5 years), for a UK/US/European financial services regulated business, ideally within the asset management/private markets space.
- Experience with client onboarding, in particular AML/KYC checks, investor vetting and associated controls (e.g. conflicts management).
- Experience with reviewing marketing materials for institutional client base, ideally across multiple global jurisdictions.
What We Offer
- Benefits in line with market expectations and legal requirements.
- Flexible/hybrid working environment.
Seniority Level: Associate
Employment Type: Full-time
Job Function: Analyst
Industries: Investment Management and Venture Capital and Private Equity Principals
Compliance Analyst - Private Markets in England employer: Anonymous
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StudySmarter Expert Advice🤫
We think this is how you could land Compliance Analyst - Private Markets in England
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Anonymous looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Analyst - Private Markets in England
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Anonymous. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Anonymous
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Anonymous’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
