Compliance Analyst

Found in: Appcast Linkedin GBL C2 - 2 weeks ago

London Area, United Kingdom MERJE Full time

MERJE are working with a boutique Funds business in their search for a Compliance Analyst in London.


Reporting into their UK General Counsel & Chief Compliance Officer, the individual will be expected to be involved in a broad range of tasks:


  • Engaging in strong compliance relationships with the front office team, portfolio managers and research analysts.
  • Provide technical advice to the business on key FCA regulatory requirements.
  • Updating and managing the firm’s compliance policies and procedures.
  • Maintaining employee certifications in accordance with the FCA’s Senior Management Certification Regime.
  • Compliance oversight and monitoring activities of the firm (management of the restricted list, advising on guideline restrictions, conflicts of interest, financial promotion approvals)
  • Providing compliance input on a range of projects & new fund launches


Ideal background & experience:


  • 2-3 years of relevant Compliance experience gained in a Fund or Asset Management environment.
  • Strong engagement skills with the ability to engage proactively with portfolio managers, and colleagues at all levels.
  • Good knowledge of the FCA’s regulatory rules
  • Strong academic background (relevant compliance qualifications such as CISI desirable).
  • Strong organisational skills

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