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For Companies At a Glance
- Tasks: Support investment operations, compliance, and risk management in a dynamic multi-family office.
- 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 compliance in a fast-paced environment.
- Qualifications: 5-10 years in buy-side operations with strong analytical and organisational skills.
- Other info: Exciting opportunity to work with cutting-edge regulatory frameworks 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 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
✨Network Like a Pro
Get out there and connect with people in the industry! Attend events, join relevant groups on LinkedIn, and don’t be shy about reaching out to folks who work at companies you’re interested in. A friendly chat can sometimes lead to job opportunities that aren’t even advertised.
✨Ace the Informational Interview
If you can, set up informational interviews with professionals in operations and compliance roles. This is your chance to learn more about the field and make a great impression. Plus, it shows your genuine interest in the industry, which can really help when it comes to landing that job!
✨Show Off Your Skills
When you get the chance to meet potential employers, be ready to showcase your skills. Bring examples of your work or discuss specific projects where you improved workflow efficiency or managed compliance risks. This will help them see how you can add value to their team.
✨Apply Through Our Website
Don’t forget to check out our website for job openings! Applying directly through us not only makes it easier for you but also increases your chances of getting noticed. We’re here to help you find the perfect role in operations and compliance!
We think you need these skills to ace Operations/Compliance Analyst
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored 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 – we love a good story!
Showcase Your Technical Skills: Since this role requires both technical and regulatory expertise, make sure to showcase any relevant tools or software you’ve used. If you’ve worked with AI-driven tools for data management, let us know – that’s a big plus!
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. Don’t miss out on this opportunity!
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 how these regulations impact operations and compliance will show that you’re not just familiar with the theory but can apply it in practice.
✨Showcase Your Analytical Skills
Prepare examples of how you've used your analytical skills to solve problems or improve processes in previous roles. Whether it's enhancing data quality or managing compliance breaches, having concrete examples ready will demonstrate your capability.
✨Understand Investment Operations
Familiarise yourself with investment operations, especially portfolio monitoring and performance tracking. Be ready to discuss how you’ve contributed to these areas in the past and how you can bring that experience to the new role.
✨Ask Insightful Questions
Prepare thoughtful questions about the firm’s operations and compliance strategies. This shows your genuine interest in the role and helps you gauge if the company culture aligns with your values and work style.
