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- Tasks: Monitor global regulatory disclosures and conduct compliance checks to ensure adherence.
- Company: Join a leading asset management firm with a strong compliance culture.
- Benefits: Competitive salary, professional development, and opportunities for career advancement.
- Other info: Collaborative environment with opportunities to build global relationships.
- Why this job: Make a real impact in compliance while working with a dynamic team.
- Qualifications: University degree and 2-4 years of compliance experience preferred.
The predicted salary is between 50000 - 60000 £ per year.
MAIN DUTIES/RESPONSIBILITIES OF THE ROLE: The Compliance Team provides regulatory support for the Brevan Howard Group across all of its activities including advisory services, internal monitoring, and regulatory training. The position will report to the Head of Compliance in London. Key responsibilities of the Compliance Analyst will include:
- Cyclical monitoring and reporting of global regulatory disclosures including long/short/auctions/e-comms/pos limits etc;
- Conduct compliance monitoring (including trade surveillance, communications and personal account dealing) in line with evolving requirements of the Brevan Howard business;
- Responsible for compliance registers (e.g. PAD, OBI, G&E, FCA, e-learning, etc.);
- Assist with staff onboarding/SMCR requirements;
- Undertake due diligence AML/CTF checks and sanctions screening and forensically investigate flags and potential matches;
- Assist with pre-approval of Counterparties, Investors and Research onboarding;
- Maintain the Compliance Monitoring Programme to ensure that it is effective in managing operational and regulatory risks;
- Build relationships with other risk and compliance officers around the group to build and enhance the global compliance control framework;
- Assist in providing compliance and regulatory training to employees;
- Co-ordinate annual declarations and liaise with staff accordingly;
- Ad-hoc projects and where necessary.
PERSON SPECIFICATION WORK EXPERIENCE/TECHNICAL BACKGROUND:
- Essential: University degree (2:1 minimum); 2-4+ years’ experience in Compliance in fund/asset management firms.
- Desirable: A recognised regulatory professional qualification; Previous experience working within a regulated organization; Trade surveillance experience a bonus.
TECHNICAL/BUSINESS SKILLS & KNOWLEDGE: Strong IT Skills, intermediate Excel, Advanced Excel, Bloomberg.
OTHER REQUIREMENTS: Attention to detail; Strong communication skills (written, spoken and analytical); Professional, articulate, presentable, and personable; Proactive, self-starter & team player.
Compliance Analyst employer: P2P
Contact Detail:
P2P Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Analyst
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field and let them know you're on the lookout for opportunities. 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 doing mock interviews with friends or using online platforms to get comfortable with common questions.
✨Tip Number 3
Showcase your skills! Create a portfolio that highlights your experience in compliance monitoring, trade surveillance, and any relevant projects you've worked on. This will give you an edge when discussing your background with potential employers.
✨Tip Number 4
Don't forget to apply through our website! We have a range of compliance roles that might be perfect for you. Plus, applying directly can sometimes speed up the process and get you noticed quicker.
We think you need these skills to ace Compliance Analyst
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Analyst role. Highlight your relevant experience in compliance, regulatory support, and any specific skills that match the job description. We want to see how you fit into our team!
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 us. Be sure to mention any specific experiences that relate to the duties listed in the job description.
Showcase Your Skills: Don’t forget to highlight your strong IT skills and any experience with trade surveillance or compliance monitoring. We love seeing candidates who can demonstrate their analytical abilities and attention to detail, so make sure these come through in your application.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re proactive, which is exactly what we’re looking for!
How to prepare for a job interview at P2P
✨Know Your Regulations
Make sure you brush up on the key regulations relevant to the role. Familiarise yourself with compliance frameworks and recent changes in regulations that could impact the business. This will show your potential employer that you're proactive and knowledgeable.
✨Demonstrate Analytical Skills
Prepare examples of how you've used your analytical skills in previous roles, especially in compliance monitoring or trade surveillance. Be ready to discuss specific situations where your attention to detail made a difference in identifying issues or improving processes.
✨Build Rapport
Since building relationships is crucial in this role, practice how you can connect with your interviewers. Think about how you can demonstrate your interpersonal skills and ability to work collaboratively with other teams during the interview.
✨Ask Insightful Questions
Prepare thoughtful questions about the Compliance Team's current challenges or future projects. This not only shows your interest in the role but also gives you a chance to demonstrate your understanding of the compliance landscape and how you can contribute.