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For Companies At a Glance
- Tasks: Support investment operations, compliance, and risk management in a dynamic environment.
- Company: Join a growing London-based multi-family office with a collaborative culture.
- Benefits: Full-time role with competitive salary and opportunities for professional growth.
- Why this job: Make an impact by ensuring data integrity and regulatory compliance in finance.
- Qualifications: 5-10 years in buy-side operations with strong analytical and organisational skills.
- Other info: Exciting chance to work with cutting-edge tools and improve workflow efficiency.
The predicted salary is between 36000 - 60000 £ per year.
My client is a London based multi‑family office looking for added support in their middle/back office as they continue to grow. The Operations & Compliance Analyst role blends investment operations, compliance, and risk management responsibilities – a hybrid position for someone with both technical and regulatory expertise in the buy‑side environment. They will support the firm’s operations, compliance, and risk management functions by ensuring investment data integrity, regulatory adherence (FCA, SEC & MiFIR) and workflow efficiency. The analyst acts as a key link between the COO, CCRO and other teams, ensuring smooth and compliant operations.
Key Responsibilities
- Investment Operations
- Assist in portfolio monitoring, ensuring alignment with target allocations and performance benchmarks.
- Provide oversight on portfolio risk factors.
- Conduct performance tracking and reporting.
- Handle any other tasks and responsibilities deemed relevant by the COO.
- Data Management
- Ensure that all data is complete, accurate and compliant.
- Prepare and validate data for all month and quarter‑end performance report cycles.
- Field any data‑related queries.
- Identify and implement opportunities to enhance data quality and productivity, including leveraging AI‑driven tools.
- Compliance
- Maintain the policy and procedures tracker.
- Support the CCRO in managing quarterly and annual attestation processes.
- Assist with the preparation of documentation for the SMCR.
- Record and monitor compliance breaches.
- Assist with some FCA regulatory reporting.
- Conduct daily financial crime screening.
- Review third‑party payments.
- Support the MLRO and the Front Office in preparing periodic financial crime risk management reviews.
- Maintain and periodically update the firm’s country risk assessments.
Qualifications and Experience
- 5‑10 years of related experience within buy‑side operations and risk management.
- Good understanding of securities, especially fund products, direct investments and derivatives.
- Familiarity with performance calculations and methodology.
- Strong organisational and interpersonal skills.
- Ability to improve workflow efficiency across data management and the compliance/risk functions.
- Confidence to flag and mitigate potential risks and recommend process improvements.
- Experience with regulatory frameworks (FCA, SEC, MiFIR & SMCR).
- Proven ability to identify and mitigate operational and regulatory risks.
- Excellent analytical, problem‑solving, and organisational skills.
Location: London, England, United Kingdom
Operations/Compliance Analyst in England employer: Stephenson Executive Search
Contact Detail:
Stephenson Executive Search Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Operations/Compliance Analyst in England
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance and compliance sectors. Attend industry events or webinars, and don’t be shy about introducing yourself. You never know who might have the inside scoop on job openings!
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of regulatory frameworks like FCA and SEC. Be ready to discuss how your experience aligns with the responsibilities of the Operations/Compliance Analyst role. Confidence is key, so practice makes perfect!
✨Tip Number 3
Showcase your analytical skills! Bring examples of how you've improved workflow efficiency or managed compliance risks in past roles. Use data to back up your achievements – numbers speak volumes in this field!
✨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 proactive about their job search. Let’s get you that dream role!
We think you need these skills to ace Operations/Compliance Analyst in England
Some tips for your application 🫡
Tailor Your CV: Make sure your CV speaks directly to the Operations/Compliance Analyst role. Highlight your experience in investment operations, compliance, and risk management. We want to see how your skills align with 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 the perfect fit for this hybrid position. Share specific examples of how you've tackled similar challenges in the past, and don't forget to show your enthusiasm for joining our team.
Showcase Your Regulatory Knowledge: Since this role involves a lot of regulatory work, make sure to mention your familiarity with frameworks like FCA, SEC, and MiFIR. We want to know that you can navigate the compliance landscape with ease!
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It helps us keep everything organised and ensures your application gets the attention it deserves. Plus, it's super easy!
How to prepare for a job interview at Stephenson Executive Search
✨Know Your Regulations
Make sure you brush up on the key regulatory frameworks like FCA, SEC, and MiFIR. Being able to discuss these confidently will show that you understand the compliance landscape and can navigate it effectively.
✨Showcase Your Analytical Skills
Prepare examples of how you've used your analytical skills in past roles, especially in relation to investment operations and risk management. Be ready to discuss specific situations where you identified risks or improved processes.
✨Demonstrate Data Management Expertise
Since data integrity is crucial for this role, come prepared with examples of how you've ensured data accuracy and compliance in previous positions. Highlight any experience with AI-driven tools that enhance data quality.
✨Communicate Effectively
As you'll be acting as a link between various teams, practice articulating your thoughts clearly. Think about how you can convey complex information simply and effectively, which is key in ensuring smooth operations.
