Compliance Analyst - London, United Kingdom - Austin Andrew Ltd

Description

Job Description

A brand new mandate from an esteemed client

RESPONSIBILITIES AND DUTIES:

Reporting to a Senior Compliance Manager, the Compliance Analyst should have varied experience to be responsible on a wide range of matters including:

• Provide administration support to the Compliance Team with oversight over Compliance System (PAD, attestations, disclosures, gifts and entertainment) and organizing due diligence meetings and on-sites (inbound and outbound)
• Responsible for maintenance of Registers (conflicts of interest, breaches, policy tracker, Compliance Calendar, regulatory change project management pages, approved persons, SMCR staff
• Responsible for the Compliance SharePoint and T-Drive Folders
• Advisory compliance support across the business e.g. AML, client opt-ups, retail investor relation queries
• Assisting Compliance Team to collate information and documentation for the Compliance Monitoring Programme
• Assistance in implementing regulatory change and conduct regulatory change horizon scanning e.g. enhancements of the Consumer Duty, new SDR regime etc
• Produce training slides for the Senior Compliance Managers; and
• Regular collection of compliance and risk MI for preparing Risk Management and Board reports

COMPETENCIES:

• Strong experience of compliance administration experience (e.g. compliance BAU, regulatory change products, compliance monitoring)
• Demonstrable knowledge of KYC and AML legislation and procedures
• Knowledge and understanding of AIFMD, MiFID II, UCITS/COLL and the wider FCA Handbook is desirable
• Able to work independently and within a team and also strong interpersonal skills to work with various teams
• Interest in using technology to find solutions to maintain compliance records; and
• Organized, analytical with strong attention to detail

QUALIFICATIONS AND EXPERIENCE REQUIRED:

Law undergraduate degree preferable but not necessary

1 – 3 years' experience working with buy side Alternative Investment Fund Manager or similar firm