Compliance Analyst

3 days ago

London, United Kingdom Robert Half Full time

**Compliance Analyst - Investment Manager**

**AIMFD & MIFID**

**£50k - £65k**

**Hybrid - London**

**Company**

Specialist alternative asset manager providing funds, direct investments and tailored investment solutions, including co-investment across a range of highly differentiated alternative investment strategies.

**Role**

The role can include (but not limited to) assisting with reviewing financial promotions and marketing material to ensure the firm meets its regulatory responsibilities, working with the team on undertaking the Compliance Monitoring Programme, and helpingor leading on regulatory change projects.

**Responsibilites**

Undertake testing in line with the Compliance Monitoring Programme, working with the business on issues identified to ensure they are reported, and remediation is completed where needed. Review and develop the program to ensure regulatory risks are captured
- Ensure potential conflicts of interest are reviewed and appropriately escalated and recorded in line with Policies and Procedures
- Assist in the development of policies and the establishment of reviews of procedures and policies where needed
- Develop relationships with all relevant internal and external parties (such as ACD, custodians and various fund boards and committees), to ensure a culture of continuous improvement
- Be responsible for reviewing, recording and approving day to day compliance requests such as: ? PA Dealing ? Gifts and Benefits ? Outside business interests
- Assist the team by undertaking KYC, identification and sanction screening checks were required
- Assist the business by providing regulatory guidance where required
- Stay informed of regulatory developments and how they would impact on the business
- Carry out other duties and projects as and when required in line with team objectives

**Experience**
- The job holder will have gained around 1-2+ years' experience within the Compliance function of an AIFM
- Experience of AIFMD regulations
- An understanding of MiFID II and UCITS, SMCR and private equity would be ideal
- Excellent initiative and administration skills: proactively taking ownership of matters
- Strong verbal and written communication skills: externally and internally, including managing expectations proactively
- Excellent analytical and research abilities
- Excellent communication skills - able to communicate effectively and adapt to anyone within the broader team

  • Risk & Compliance Analyst

    2 weeks ago

    London, United Kingdom AJ Fox Compliance Full time

    A well-respected professional services firm is seeking to hire a Risk & Compliance Analyst to support the day-to-day operations of their compliance team in London (hybrid working). This is a great opportunity for a Junior Compliance Officer or ComplianceAssistant to step up into a more senior role taking on more responsibility and making an impact in a small...

  • Compliance Analyst

    1 day ago

    Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    OverviewWe are working with a well-regarded professional services firm to hire a Compliance Analyst to join their growing team in Surrey. In this role, you’ll play a key part in shaping and delivering the firm’s risk and compliance strategy across all areas of the business, ensuring that regulatory, operational and strategic risks are effectively managed...

  • Senior Aml/kyc Analyst

    1 week ago

    London, United Kingdom FCS COMPLIANCE LTD Full time

    Working from home £45,000- £50,000 + bonus FCS Compliance is a leading AML compliance consultancy servicing both the property and art sectors. Our team of highly experienced consultants are looking for a Senior AML/KYC Analyst to join our rapidly growing team. FCS Compliance offers all employees training and industry accreditation. As an Senior AML/KYC...

  • Compliance Analyst

    1 day ago

    London, United Kingdom Page Personnel Finance Full time

    This is a new opportunity for a Compliance Analyst to work for a Financial Services business who will be responsible for handling the reporting of Financial Crime. The Compliance Analyst will be based in the City of London office. **Client Details** The client is a Financial Services business, specifically a FinTech, located in the City of London. They are...

  • Compliance Analyst

    5 days ago

    London, United Kingdom Career Legal Full time

    Role: Compliance Analyst **Salary**: Up to £45,000 per annum Contract: Permanent We are currently working with an outstanding law firm as they are looking for a Compliance Analyst to join their team on a permanent basis. The opportunity - Work closely with the Compliance team to ensure new transactions are set up optimally and meet both external client...

  • AML & Conflicts Analyst

    3 days ago

    Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    OverviewWe are recruiting for an AML & Conflicts Analyst to join an established team within a thriving international law firm. In this role, you will support the London-based team with critical compliance tasks, focusing primarily on conflict searches and new business intake.We’re looking for a detail-oriented individual with at least 3 years of experience...

  • Compliance Analyst

    3 days ago

    London, United Kingdom Page Personnel Finance Full time

    This is a new Compliance Analyst role working for a Financial Services business, specifically an Investment Management company, in South West London. **Client Details** The client is a Financial Services business, specifically an investment group specialising in asset management, principal finance and equity capital market activities. They are now looking...

  • Compliance Analyst

    7 days ago

    London, United Kingdom Page Personnel Full time

    Hands on team.Great stakeholder engagement.About Our ClientThe hiring organisation is a medium-sized entity within the Financial Services industry, known for its commitment to maintaining high standards of compliance and governance. They operate in a fast-paced environment and are focused on fostering a structured and efficient workplace in London.Job...

  • Investment Compliance Analyst

    1 day ago

    London, United Kingdom Mason Blake Full time

    Description A thriving investment management house is looking to recruit a Investment Compliance Analyst  to join their London office. The  Senior Investment Compliance Analyst  will take responsibility for the following duties: Responsible for implementing and reviewing investment compliance rules and regulations. Oversee daily monitoring of pre and post...

  • Conflicts Analyst

    4 weeks ago

    london, United Kingdom AJ FOX COMPLIANCE Full time

    We are working with a prestigious global law firm to recruit a Conflicts Analyst on a fully remote basis. In this role, you’ll play a key part in maintaining and improving the firm’s compliance framework, ensuring that policies and procedures meet all relevant legislative and regulatory standards. Our client is looking for someone with experience gained...