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- Tasks: Join our team to enhance compliance monitoring and support regulatory relationships.
- Company: A respected derivatives firm based in London, known for its strong reputation.
- Benefits: Enjoy flexible working options and opportunities for professional growth.
- Why this job: Make a real impact in compliance while developing valuable skills in a dynamic environment.
- Qualifications: Experience in financial services with strong organisational and communication skills required.
- Other info: Be part of a supportive team that values innovation and adaptability.
The predicted salary is between 36000 - 60000 £ per year.
THE COMPANY:Our client is a specialist alternative asset manager, looking for an experienced Compliance Analyst to be part of their expanding UK Compliance team.
THE RESPONSIBILITIES:
Undertake testing in line with the Compliance Monitoring Programme, working with the business on issues identified to ensure they are reported, and remediation is completed where needed. Review and develop the program to ensure regulatory risks are captured
Ensure potential conflicts of interest are reviewed and appropriately escalated and recorded in line with Policies and Procedures
Assist in the development of policies and the establishment of reviews of procedures and policies where needed
Develop relationships with all relevant internal and external parties (such as ACD, custodians and various fund boards and committees), to ensure a culture of continuous improvement
Be responsible for reviewing, recording and approving day-to-day compliance requests such as: PA Dealing, Gifts and Benefits, Outside business interests
Assist the team by undertaking KYC, identification and sanction screening checks were required
Assist the business by providing regulatory guidance where required
Stay informed of regulatory developments and how they would impact on the business
Carry out other duties and projects as and when required in line with team objectives
EXPERIENCE REQUIRED:
The job holder will have gained around 2-3 years\’ experience within the Compliance function of an AIFM
Experience of AIFMD regulations
An understanding of MiFID II and UCITS, SMCR and private equity would be ideal
Excellent initiative and administration skills: proactively taking ownership of matters
Strong verbal and written communication skills: externally and internally, including managing expectations proactively
Excellent analytical and research abilities
Excellent communication skills – able to communicate effectively and adapt to anyone within the broader team
High level understanding of Risk in context of asset management
For further information please contact Spencer Evans
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Compliance Analyst employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Analyst
✨Tip Number 1
Familiarise yourself with the latest regulatory changes in the financial services sector. This will not only help you understand the compliance landscape but also demonstrate your proactive approach during interviews.
✨Tip Number 2
Network with professionals already working in compliance roles, especially within derivatives firms. Engaging in conversations can provide insights into the specific challenges they face and how you can position yourself as a solution.
✨Tip Number 3
Prepare to discuss real-life scenarios where you've successfully implemented or improved compliance processes. Having concrete examples ready will showcase your experience and problem-solving skills effectively.
✨Tip Number 4
Stay updated on industry trends by following relevant publications and attending webinars. This knowledge will not only enhance your understanding but also show your commitment to continuous learning in the compliance field.
We think you need these skills to ace Compliance Analyst
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance, particularly in designing and improving monitoring programmes and onboarding processes. Use specific examples that demonstrate your understanding of the regulatory landscape.
Craft a Strong Cover Letter: Write a cover letter that addresses the key responsibilities mentioned in the job description. Explain how your skills and experiences align with the role, particularly your ability to maintain relationships with regulators and your experience in providing training.
Showcase Communication Skills: Since excellent written and verbal communication is crucial for this role, ensure your application materials are well-structured and free of errors. Consider including examples of how you've effectively communicated complex regulatory information in the past.
Highlight Organisational Skills: Demonstrate your strong organisational skills by detailing how you have managed multiple tasks or projects simultaneously in previous roles. This could include examples of how you’ve handled routine operational tasks while adapting to evolving team needs.
How to prepare for a job interview at Compliance Professionals
✨Know Your Regulations
Familiarise yourself with the current regulatory landscape relevant to the derivatives market. Be prepared to discuss how recent changes could impact the firm's compliance strategies.
✨Demonstrate Your Analytical Skills
Prepare examples of how you've previously analysed regulatory changes or improved compliance processes. Highlight your ability to provide actionable insights based on your analysis.
✨Showcase Your Communication Skills
Since the role requires excellent written and verbal communication, practice articulating complex compliance concepts clearly. Consider preparing a brief presentation on a compliance topic to demonstrate your skills.
✨Be Ready for Scenario Questions
Expect scenario-based questions that assess your problem-solving abilities in compliance situations. Think about past experiences where you had to navigate regulatory challenges and how you handled them.
