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- Tasks: Support compliance for trades and assist with regulatory filings in a dynamic environment.
- Company: Join a leading global asset manager known for excellence and social impact.
- Benefits: Enjoy a collaborative culture, potential remote work, and opportunities for professional growth.
- Why this job: Be part of a firm that promotes justice and human rights while developing your compliance skills.
- Qualifications: Bachelor’s degree and 3+ years in asset management or hedge fund compliance required.
- Other info: Flexibility to support teams in London, New York, and Ireland.
The predicted salary is between 43200 - 72000 £ per year.
Our client is a leading global asset manager and family office with a long-standing history and a reputation for excellence in both investment performance and social impact. Managing approximately $28 billion in assets, the firm serves as the principal investment manager for one of the world’s largest charitable foundations, supporting initiatives that promote justice, human rights, and democratic values globally. The firm is expanding its UK operations and is seeking a Compliance professional who can take a lead role locally while also providing support to its Ireland and US offices as needed.
Primary Responsibilities
- Work with the London Compliance Officer to provide trade compliance support to the teams in London with some assistance to the equivalent teams in New York.
- Pre-trade compliance support includes reviewing trades against the relevant EU regulatory obligations and internal investment guidelines using the firm’s order management and other systems/tools to exercise this responsibility.
- Assisting with wall crossings and management of the MNPI process.
- Help with the EU and UK regulatory filings and disclosures.
- Assist with the firm’s compliance program covering personal account dealing, gifts & entertainment, restricted list maintenance, and surveillance of trading activity, transaction reporting and electronic communications.
- Partner with Portfolio Managers and Traders to understand the scope of securities they are trading/monitoring to pre-empt restrictions that may predicate trading activity.
- Assist the Compliance Officer to educate and train employees on compliance issues and industry developments.
- Be a resource to business groups to resolve compliance issues in accordance with firm policies.
- Flexibility to provide ad hoc compliance coverage to the firm’s NY office when resources are needed.
Requirements
- Bachelor’s degree or higher.
- 3+ years of experience in asset management or hedge fund compliance.
- Knowledge of MiFID II requirements and other EU and UK regulations as they relate to short selling and substantial shareholding disclosures and the UK Takeover Panel.
- Knowledge and experience with a broad range of instruments and asset classes.
- Strong written and oral communication skills.
- Organized and self-motivated with strong attention to detail.
- Able to multi-task in a dynamic high-pressure environment.
- Experience working directly with investment and trading professionals.
Compliance Analyst (Hedge Fund) employer: ETRA Talent
Contact Detail:
ETRA Talent Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Analyst (Hedge Fund)
✨Tip Number 1
Familiarise yourself with the specific regulations and compliance frameworks relevant to hedge funds, particularly MiFID II and UK Takeover Panel rules. This knowledge will not only help you in interviews but also demonstrate your commitment to understanding the industry.
✨Tip Number 2
Network with professionals in the compliance field, especially those working in asset management or hedge funds. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in compliance.
✨Tip Number 3
Prepare to discuss real-world scenarios where you successfully navigated compliance issues or improved processes. Having concrete examples ready will showcase your problem-solving skills and ability to work under pressure.
✨Tip Number 4
Research the firm’s values and social impact initiatives, as they are a significant part of their identity. Being able to articulate how your personal values align with theirs can set you apart from other candidates.
We think you need these skills to ace Compliance Analyst (Hedge Fund)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in asset management or hedge fund compliance. Emphasise your knowledge of MiFID II and other EU and UK regulations, as well as any specific instruments or asset classes you have worked with.
Craft a Compelling Cover Letter: In your cover letter, explain why you are interested in the Compliance Analyst position and how your background aligns with the firm's mission of promoting justice and human rights. Mention your ability to work under pressure and your experience in educating others on compliance issues.
Showcase Communication Skills: Since strong written and oral communication skills are essential for this role, consider including examples in your application that demonstrate your ability to communicate complex compliance issues clearly and effectively to various stakeholders.
Highlight Attention to Detail: Given the nature of compliance work, it's crucial to showcase your attention to detail. Provide examples of how you've successfully managed compliance tasks, such as regulatory filings or monitoring trading activity, ensuring accuracy and adherence to guidelines.
How to prepare for a job interview at ETRA Talent
✨Know Your Regulations
Familiarise yourself with MiFID II and other relevant EU and UK regulations. Be prepared to discuss how these regulations impact compliance in asset management and hedge funds, as this knowledge will demonstrate your expertise and readiness for the role.
✨Showcase Your Experience
Highlight your previous experience in asset management or hedge fund compliance. Be ready to provide specific examples of how you've handled compliance issues, particularly in high-pressure situations, to illustrate your problem-solving skills.
✨Communicate Clearly
Strong communication skills are essential for this role. Practice articulating complex compliance concepts in a clear and concise manner, as you may need to explain these to colleagues who are not compliance experts.
✨Demonstrate Team Collaboration
Emphasise your ability to work collaboratively with Portfolio Managers and Traders. Prepare to discuss how you have partnered with different teams in the past to pre-empt compliance issues and ensure smooth trading operations.
