Legal Compliance Analyst
2 weeks ago
As a Senior Compliance Analyst you will be joining a business that is looking to expand and will be an integral part of the firm with exposure to a wide variety of business functions and activities at the firm.
This is an excellent opportunity for a compliance analyst looking to progress into a more senior and broader compliance role. You will report into GC & CCO and will be responsible for generalist compliance activities covering both the UK & US.
Assist the firm meet FCA and SEC regulatory compliance requirements
• Prepare the firm for its quarterly FCA compliance reviews and annual SEC reviews
• Review Compliance Manual and develop & maintain the firms Compliance Policies & Procedures
• Test the compliance monitoring programme
• Conduct telephone monitoring, email surveillance and expert network call chaperoning.
• Assist with the preparation of SEC filings for submission (ADV Pt 1 & 2, Form PF, 13H/F/G, CFTC, Form D).
• Assist the firm to compile compliance related responses for DDQs/Operational Due Diligences.
• Oversee the firm’s record keeping (Conflicts of Interest, OBIs, gifts & entertainment, breaches, training)
1-3 years compliance experience within equity asset management environment
• Exposure to regulatory markets, such as the US, Cayman and Ireland.
• As a recognised Great Place to Work™, we ensure our workplace is one that fosters professional growth and collaboration.
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