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    Senior Analyst Compliance - London, United Kingdom - Coopman Search and Selection

    Coopman Search and Selection
    Coopman Search and Selection London, United Kingdom

    1 week ago

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    Description

    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 & ProceduresTest the compliance monitoring programmeConduct 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).Manage the wall crossing and market sounding processes as well as shareholder disclosure requestsReview Marketing presentations 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)


    Experience Required: 1-3 years compliance experience within equity asset management environment Exposure to regulatory markets, such as the US, Cayman and a recognised Great Place to WorkTM, we ensure our workplace is one that fosters professional growth and collaboration.

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