Compliance Associate

A leading alternative investment management business is seeking a Compliance Associate to join its London-based compliance team.

This is an excellent opportunity for a compliance professional looking to broaden their exposure across a wide range of regulatory and advisory responsibilities within a sophisticated investment management environment. Reporting into senior compliance leadership, you will play a key role in supporting both UK and global compliance activities while working closely with front-office, operations, technology and legal stakeholders.

Key Responsibilities

• Manage regulatory reporting and disclosures, including short and long position reporting and MiFIR transaction reporting.
• Process market soundings, early-look meeting requests and Regulation M reviews.
• Maintain and administer restricted lists and related trading controls.
• Conduct compliance monitoring activities across communications, trading activity and best execution.
• Support Fitness & Propriety reviews under the FCA Certification Regime.
• Review and document trading errors and related remediation actions.
• Provide regulatory and policy guidance to front-office and business stakeholders.
• Assist in the delivery of compliance training programmes.
• Contribute to compliance monitoring reviews and ad hoc regulatory projects.
• Partner with technology, operations and IT teams on daily compliance processes and controls.
• Monitor domestic and international regulatory developments and assess potential business impact.
• 4–8 years' compliance, regulatory or financial crime experience gained within an asset manager, investment bank, hedge fund or other regulated financial services environment.
• Experience supporting trading or investment teams in a compliance advisory capacity.
• Strong understanding of financial markets regulation and compliance controls.

Highly Desirable

• Experience with UK and European short position disclosure regimes.
• Exposure to MiFIR transaction reporting requirements.
• Familiarity with trade surveillance, monitoring and front-office advisory work.

Personal Attributes

• Strong analytical and problem-solving skills.
• Exceptional attention to detail.
• Excellent written and verbal communication abilities.
• Confident interacting with front-office professionals and senior stakeholders.
• Self-motivated with the ability to manage competing priorities.
• Strong organisational and teamwork skills combined with the ability to work independently.

What's on Offer

• Discretionary bonus.
• Hybrid working model with flexibility.
• Significant exposure to senior stakeholders and investment professionals.
• A collaborative and high-performing team environment with strong opportunities for long-term career development.