London Compliance Analyst

3 weeks ago

Edinburgh, Edinburgh, United Kingdom Soros Fund Management LLC Full time

Join to apply for the London Compliance Analyst role at Soros Fund Management.

Company Description

Soros Fund Management LLC (SFM) is a global asset manager and family office founded by George Soros in 1970. With $28 billion in assets under management (AUM), SFM serves as the principal asset manager for the Open Society Foundations, one of the world's largest charitable foundations dedicated to advancing justice, human rights, and democracy. Distinct from other investment platforms, SFM thrives on agility, acting decisively when conviction is high and exercising patience when it's not. With permanent capital, a select group of major clients, and an unconstrained mandate, we invest opportunistically with a long-term view. Our teams operate with autonomy, while cross-team collaboration strengthens our conviction and empowers us to capitalize on market dislocations.

At SFM, we foster an ownership mindset, encouraging professionals to challenge the status quo, innovate, and take initiative. We prioritize development, enabling team members to push beyond their roles, voice bold ideas, and contribute to our long-term success. This culture of continuous growth and constructive debate fuels innovation and drives efficiency. Our impact is measured by both the returns we generate and the values we uphold, from environmental stewardship to social responsibility. Operating as a unified team across geographies and mandates, we remain committed to our mission, ensuring a meaningful, lasting impact.

Position Overview

SFM seeks a Compliance Analyst to support its London office, SFM UK Management LLP (regulated by the Financial Conduct Authority), and its Dublin-based office. SFM focuses on a broad range of portfolio management strategies, with the UK team specifically focused on European long/short equity, macro, and credit strategies. This candidate will work closely with the firm's investment professionals, members of the Legal and Compliance Department and other key stakeholders both in London and New York on a broad range of investment advisory, regulatory and compliance matters. The ideal candidate will have a specific knowledge of investment and trading activities. The role will initially require early morning office-based work to support pre-market trading activity with some corresponding flexibility toward the end of the day.

Key Relationships

Reports To: Deputy Chief Compliance Officer
Other Key Relationships: General Counsel and CCO, Legal Department, Portfolio Managers & Analysts, Trade Execution Desk, Trade Support, Technology.

Primary Responsibilities

  • Work with the London Compliance Officer to provide trade compliance support to the teams in London with some assistance to the equivalent teams in New York.
  • Pre-trade compliance support includes reviewing trades against the relevant EU regulatory obligations and internal investment guidelines using the firm's order management and other systems/tools to exercise this responsibility.
  • Assisting with wall crossings and management of the MNPI process.
  • Help with the EU and UK regulatory filings and disclosures.
  • Assist with the firm's compliance program covering personal account dealing, gifts & entertainment, restricted list maintenance, and surveillance of trading activity, transaction reporting and electronic communications.
  • Partner with Portfolio Managers and Traders to understand the scope of securities they are trading/monitoring to pre-empt restrictions that may predicate trading activity.
  • Assist the Compliance Officer to educate and train employees on compliance issues and industry developments.
  • Be a resource to business groups to resolve compliance issues in accordance with firm policies.
  • Flexibility to provide ad hoc compliance coverage to the firm's NY office when resources are needed.

Requirements

  • Bachelor's degree or higher.
  • 3+ years of experience in asset management or hedge fund compliance.
  • Knowledge of MiFID II requirements and other EU and UK regulations as they relate to short selling and substantial shareholding disclosures and the UK Takeover Panel.
  • Knowledge and experience with a broad range of instruments and asset classes.
  • Strong written and oral communication skills.
  • Organized and self-motivated with strong attention to detail.
  • Able to multi-task in a dynamic high-pressure environment.
  • Experience working directly with investment and trading professionals.

In all respects, candidates need to reflect the following SFM core values:
Integrity // Teamwork // Smart risk-taking // Owner's Mindset // Humility

Seniority level

Mid-Senior level

Employment type

Full-time

Job function

Legal

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