-
Job Description
A brand new mandate from an esteemed client
Are you ready to apply Make sure you understand all the responsibilities and tasks associated with this role before proceeding.
RESPONSIBILITIES AND DUTIES:
Reporting to a Senior Compliance Manager, the Compliance Analyst should have varied experience to be responsible on a wide range of matters including:
- Provide administration support to the Compliance Team with oversight over Compliance System (PAD, attestations, disclosures, gifts and entertainment) and organizing due diligence meetings and on-sites (inbound and outbound)
- Responsible for maintenance of Registers (conflicts of interest, breaches, policy tracker, Compliance Calendar, regulatory change project management pages, approved persons, SMCR staff
- Responsible for the Compliance SharePoint and T-Drive Folders
- Advisory compliance support across the business e.g. AML, client opt-ups, retail investor relation queries
- Assisting Compliance Team to collate information and documentation for the Compliance Monitoring Programme
- Assistance in implementing regulatory change and conduct regulatory change horizon scanning e.g. enhancements of the Consumer Duty, new SDR regime etc
- Produce training slides for the Senior Compliance Managers; and
- Regular collection of compliance and risk MI for preparing Risk Management and Board reports
COMPETENCIES:
- Strong experience of compliance administration experience (e.g. compliance BAU, regulatory change products, compliance monitoring)
- Demonstrable knowledge of KYC and AML legislation and procedures
- Knowledge and understanding of AIFMD, MiFID II, UCITS/COLL and the wider FCA Handbook is desirable
- Able to work independently and within a team and also strong interpersonal skills to work with various teams
- Interest in using technology to find solutions to maintain compliance records; and
- Organized, analytical with strong attention to detail
QUALIFICATIONS AND EXPERIENCE REQUIRED:
Law undergraduate degree preferable but not necessary
1 – 3 years’ experience working with buy side Alternative Investment Fund Manager or similar firm