Compliance Analyst - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

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 12+ 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