At a Glance
- Tasks: Support compliance for trading activities and regulatory matters in a dynamic investment environment.
- Company: Join Soros Fund Management, a leading global asset manager with a mission for social impact.
- Benefits: Enjoy a collaborative culture, opportunities for growth, and the chance to make a meaningful impact.
- Other info: Flexibility in work hours and potential for ad hoc support to the New York office.
- Why this job: Be part of a team that values innovation, challenges the status quo, and prioritises social responsibility.
- Qualifications: Bachelor’s degree, 3+ years in asset management compliance, and knowledge of EU/UK regulations required.
The predicted salary is between 43200 - 72000 £ per year.
Soros Fund Management LLC (SFM) is a global asset manager and family office founded by George Soros in 1970. With $28 billion in assets under management (AUM), SFM serves as the principal asset manager for the Open Society Foundations, one of the world’s largest charitable foundations dedicated to advancing justice, human rights, and democracy. Distinct from other investment platforms, SFM thrives on agility, acting decisively when conviction is high and exercising patience when it’s not. With permanent capital, a select group of major clients, and an unconstrained mandate, we invest opportunistically with a long-term view.
Our teams operate with autonomy, while cross-team collaboration strengthens our conviction and empowers us to capitalize on market dislocations. At SFM, we foster an ownership mindset, encouraging professionals to challenge the status quo, innovate, and take initiative. We prioritize development, enabling team members to push beyond their roles, voice bold ideas, and contribute to our long-term success. This culture of continuous growth and constructive debate fuels innovation and drives efficiencies. Our impact is measured by both the returns we generate and the values we uphold, from environmental stewardship to social responsibility. Operating as a unified team across geographies and mandates, we remain committed to our mission, ensuring a meaningful, lasting impact.
Position Overview
SFM seeks a Compliance Analyst to support its London office, SFM UK Management LLP (regulated by the Financial Conduct Authority), and its Dublin-based office. SFM focuses on a broad range of portfolio management strategies, with the UK team specifically focused on European long/short equity, macro, and credit strategies. This candidate will work closely with the firm’s investment professionals, members of the Legal and Compliance Department and other key stakeholders both in London and New York on a broad range of investment advisory, regulatory and compliance matters. The ideal candidate will have a specific knowledge of investment and trading activities. The role will initially require early morning office-based work to support pre-market trading activity with some corresponding flexibility toward the end of the day.
Major 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.
What We Value
- 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.
In all respects, candidates need to reflect the following SFM core values: Smart risk-taking // Owner’s Mindset // Teamwork // Humility // Integrity.
London Compliance Analyst United Kingdom employer: Soros Fund Management LLC
Soros Fund Management LLC is an exceptional employer, offering a dynamic work environment in London that fosters innovation and professional growth. With a strong emphasis on collaboration and an ownership mindset, employees are encouraged to challenge the status quo and contribute meaningfully to the firm's mission of advancing justice and human rights. The company prioritises employee development and provides unique opportunities to engage with a diverse range of investment strategies, making it an ideal place for those seeking a rewarding career in compliance within a globally respected asset management firm.
StudySmarter Expert Advice🤫
We think this is how you could land London Compliance Analyst United Kingdom
✨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 Soros Fund Management LLC looking for candidates who are engaged and informed.
We think you need these skills to ace London Compliance Analyst United Kingdom
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 Soros Fund Management LLC. 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 Soros Fund Management LLC
✨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 Soros Fund Management LLC’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
