Compliance Analyst

1 month ago

Central London, United Kingdom Appleby Brown Search Full time

My client is an alternative investment manager based in London.

 

About the role

An exciting opportunity has arisen to join the compliance team working directly with the General Counsel & Chief Compliance Officer in a role that will provide excellent generalist compliance exposure.

The role requires the ability to problem solve, work independently and collaborate with members of other teams, including the investment team.

Responsibilities

  • Assisting with compliance monitoring reviews and testing Maintenance of the Compliance Monitoring Programme
  • Post trade compliance checks
  • Maintaining SMCR files including initiating background screenings
  • Assisting with the implementation of policies and procedures
  • Assisting with the maintenance and update of training materials Providing administrative support to the Compliance Officer / General Counsel
  • Assisting with ad hoc legal and regulatory projects
  • Assist in preparing and conducting KYC checks, and responding to KYC requests
  • Take lead on ensuring compliance with record-keeping requirements
  • Take lead on responding to requests for compliance approvals such as personal account dealing, gifts and entertainment or outside business interests

Requirements

  • Ideally 1-2 years’ experience within financial services in Compliance, Operations, Paralegal
  • Ability to work in a fast-paced environment
  • Ability to communicate effectively both in writing and orally
  • Ability to deliver outputs with a high degree of accuracy
  • Ability to work independently as well as a part of the team Good knowledge of Microsoft Office suite and ability to pick up new systems quickly
  • Candidate should be positive, confident, self-motivated, proactive and flexible

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