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- Tasks: Ensure compliance with regulations and support risk management initiatives in a dynamic environment.
- Company: Join a leading firm in the financial services sector focused on private markets.
- Benefits: Competitive salary, flexible working, and benefits aligned with market standards.
- Why this job: Make a real impact by ensuring compliance and supporting anti-money laundering efforts.
- Qualifications: 2-5 years of experience in Compliance and AML within financial services.
- Other info: Opportunity for growth in a collaborative and innovative team.
The predicted salary is between 36000 - 60000 £ 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
- The Compliance Manager will support the Global Head of Compliance in the effective implementation and maintenance of the firm’s global compliance framework. Key responsibilities include, but are not limited to:
- 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.
- Policies & Procedures: Support the Global Head of Compliance in the periodic review and implementation of compliance policies, 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 escalate any exceptions or breaches as appropriate.
- Financial Crime & Client Onboarding: Support the execution of AML/KYC controls and client due diligence checks. Review marketing and client materials for compliance with applicable regulatory requirements.
- Monitoring, Testing & Surveillance: 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.
- Training & Awareness: 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
- Competitive salary.
- Benefits in line with market expectations and legal requirements.
- Flexible/hybrid working environment.
Compliance Analyst - Private Markets in London employer: Anonymous
Contact Detail:
Anonymous Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Analyst - Private Markets in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field, especially those who work in private markets. A friendly chat can lead to insider info about job openings that aren't even advertised yet.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of regulatory frameworks and compliance practices. We recommend creating a cheat sheet of key terms and recent developments in AML/KYC to impress your interviewers.
✨Tip Number 3
Showcase your skills through real-life examples during interviews. Think of specific situations where you’ve successfully managed compliance issues or improved processes. This will help you stand out as a proactive candidate.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are genuinely interested in joining our team.
We think you need these skills to ace Compliance Analyst - Private Markets in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Analyst role. Highlight your experience in compliance and AML matters, especially if you've worked in financial services. We want to see how your skills match what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your background makes you a great fit for our team. Keep it concise but impactful – we love a good story!
Showcase Relevant Experience: When filling out your application, be sure to showcase any relevant experience with regulatory registers, client onboarding, or compliance monitoring. We’re keen on seeing how you’ve tackled similar challenges in the past.
Apply Through Our Website: Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it’s super easy – just follow the prompts and you’ll be set!
How to prepare for a job interview at Anonymous
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance regulations, especially those related to AML and KYC. Familiarise yourself with the latest updates in the regulatory landscape, as this will show that you're proactive and well-informed.
✨Showcase Your Experience
Prepare specific examples from your past roles that highlight your experience in compliance and risk management. Be ready to discuss how you've handled conflicts of interest or conducted client due diligence checks, as these are key aspects of the role.
✨Ask Smart Questions
Come prepared with insightful questions about the company's compliance framework and how they adapt to regulatory changes. This not only shows your interest but also demonstrates your understanding of the complexities involved in compliance.
✨Demonstrate Team Spirit
Since the role involves coordinating with various stakeholders, emphasise your ability to work collaboratively. Share examples of how you've successfully worked with teams to implement compliance policies or conduct training sessions.
