- 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).
- Manage the wall crossing and market sounding processes as well as shareholder disclosure requests
- Review 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)
- 1-3 years compliance experience within equity asset management environment
- Exposure to regulatory markets, such as the US, Cayman and Ireland.
- ComplianceAlpha or similar programme management tool preferred.
- Experience with both FCA & US Marketing Rule requirements (Preferred)
- An analytical & methodical mindset
- Strong stakeholder management skills
-
Compliance Analyst
3 weeks ago
enable Recruitment City of London, United Kingdom**- Up to £26,000 salary** · **- Hybrid and flexible working** · **- Huge opportunities for training and progression** · We are working with an award-winning Bristol-based Solicitors, to find a Compliance Analyst to join their friendly team You'll be joining an ambitious and fast ...
-
Senior Compliance Analyst
2 weeks ago
enable Recruitment City of London, United Kingdom**- £31,800 salary** · **- Hybrid and flexible working** · **- Huge opportunities for training and progression** · We are working with an award-winning Bristol-based Solicitors, to find a Senior Compliance Analyst to join their friendly team You'll be joining an ambitious and fas ...
-
Risk and Compliance Analyst
3 weeks ago
Lewis Row Ltd City of London, United KingdomAn opportunity has arisen for a Compliance Analyst to join an international law firm, in London with hybrid working on a full time, permanent basis. · The Risk and Compliance Analyst will report to the Director of Risk and Compliance and work closely with the firm's regulatory co ...
-
Senior Compliance Analyst
2 weeks ago
Lewis Row Ltd City of London, United KingdomA great opportunity has arisen for two Senior Compliance Analysts to join an International law firm in their risk and compliance team, in London with hybrid or remote working. · The work is principally focused on anti-money laundering, counter terrorist financing ("CTF") and sanc ...
-
Compliance Analyst
6 days ago
Finitas City of London, Greater London, United KingdomCompliance Analyst | Lloyd's Syndicate | London/Hybrid | £40 - 50,000 (doe) · Finitas are delighted to be exclusively partnered with a growing Lloyd's Syndicate in their search for a Compliance Analyst to join their team. This is a newly created role due to good company growth of ...
-
Compliance Analyst
3 weeks ago
Curtis, Mallet-Prevost, Colt & Mosle LLP City of London, United KingdomCurtis, Mallet-Prevost, Colt & Mosle LLP – Compliance Analyst, London OfficenAbout the jobnCurtis, Mallet-Prevost, Colt & Mosle LLP (" Curtis "), founded in New York in 1830, is an international law firm with a leading reputation in international disputes and corporate work. The ...
-
Compliance Analyst
2 weeks ago
Finitas City of London, United KingdomCompliance Analyst | Lloyd's Syndicate | London/Hybrid | £40 - 50,000 (doe)nFinitas are delighted to be exclusively partnered with a growing Lloyd's Syndicate in their search for a Compliance Analyst to join their team. This is a newly created role due to good company growth offe ...
-
Compliance Analyst
3 weeks ago
Finitas City of London, United KingdomJob Description · Compliance Analyst | Lloyd's Syndicate | London/Hybrid | £40 - 50,000 (doe) · Finitas are delighted to be exclusively partnered with a growing Lloyd's Syndicate in their search for a Compliance Analyst to join their team. This is a newly created role due to good ...
-
Compliance Analyst
2 weeks ago
Black Swan Group City of London, Greater London, United KingdomWell established Private Equity Investment Management business are seeking a Compliance Analyst to join their growing team. · All the relevant skills, qualifications and experience that a successful applicant will need are listed in the following description. · Key Responsibiliti ...
-
Compliance Analyst
4 weeks ago
DA Financial Trading Recruitment City of London, United KingdomJob DescriptionA leading FX Trading company in London are looking for a 'Compliance Analyst' to join their team. · Competitive package on offer - salary up to £65k basic plus discretionary bonus, dependant on experience. · Hybrid working, (offices based in city.) · You must be w ...
-
Compliance Analyst Mifid, Emir
3 weeks ago
Taylor James Resourcing City of London, United KingdomOur client is looking for a Compliance specialist with strong Capital Markets knowledge to give specialist advice on detailed regulatory requirements (Transaction Reporting and Best Execution) through to delivering complex regulatory implementation projects. · Our clients range f ...
-
Senior Compliance Analyst
2 weeks ago
Coopman Search and Selection | B Corp™ City of London, Greater London, United KingdomCoopman Search and Selection are delighted to be partnering with a leading hedge fund who have circa $2 billion AUM. · The experience expected from applicants, as well as additional skills and qualifications needed for this job are listed below. · As a Senior Compliance Analyst y ...
-
Senior Compliance Analyst
1 week ago
Wintermann Search City of London, Greater London, United KingdomOur Client is a UK Charity Bank currently searching for a Compliance Analyst to join their Compliance team. · Deliver the Bank's Compliance Monitoring Plan · Support the UK GDPR compliance and act as a delegate to DPO · Maintaining the Compliance records (policies, procedures, ...
-
Compliance Analyst
4 weeks ago
DA Financial Trading Recruitment City of London, United KingdomA leading FX Trading company in London are looking for a 'Compliance Analyst' to join their team. · Competitive package on offer - salary up to £65k basic plus discretionary bonus, dependant on experience. · Hybrid working, (offices based in city.) · You must be working in a simi ...
-
Compliance Analyst
4 weeks ago
Curtis, Mallet-Prevost, Colt & Mosle LLP City of London, United KingdomJob DescriptionCurtis, Mallet-Prevost, Colt & Mosle LLP – Compliance Analyst, London Office · About the job · Curtis, Mallet-Prevost, Colt & Mosle LLP ("Curtis"), founded in New York in 1830, is an international law firm with a leading reputation in international disputes and cor ...
-
Compliance Analyst
3 weeks ago
Curtis, Mallet-Prevost, Colt & Mosle LLP City of London, Greater London, United KingdomCurtis, Mallet-Prevost, Colt & Mosle LLP – Compliance Analyst, London Office · About the job · Curtis, Mallet-Prevost, Colt & Mosle LLP (" Curtis "), founded in New York in 1830, is an international law firm with a leading reputation in international disputes and corporate work ...
-
Compliance Analyst
4 weeks ago
Curtis, Mallet-Prevost, Colt & Mosle LLP City Of London, United KingdomCurtis, Mallet-Prevost, Colt & Mosle LLP – Compliance Analyst, London Office · About the job · Curtis, Mallet-Prevost, Colt & Mosle LLP ("Curtis "), founded in New York in 1830, is an international law firm with a leading reputation in international disputes and corporate wor ...
-
Compliance Analyst
3 weeks ago
Finitas City of London, Greater London, United KingdomCompliance Analyst | Lloyd's Syndicate | London/Hybrid | £40 - 50,000 (doe) · Is this the next step in your career Find out if you are the right candidate by reading through the complete overview below. · Finitas are delighted to be exclusively partnered with a growing Lloyd's Sy ...
-
Compliance Analyst
2 weeks ago
Finitas City of London, Greater London, United KingdomCompliance Analyst | Lloyd's Syndicate | London/Hybrid | £40 - 50,000 (doe) · Like the look of this opportunity Make sure to apply fast, as a high volume of applications is expected Scroll down to read the complete job description. · Finitas are delighted to be exclusively partne ...
-
Compliance Analyst
3 weeks ago
Bruin City of London, Greater London, United KingdomI'm currently supporting an international bank, who are looking for a compliance analyst to join their team on an initial contract basis. This is an interesting position as it looks to utilise a candidates data visualisation skills, as well as demonstrating their understanding of ...
Senior Compliance Analyst - City of London, Greater London, United Kingdom - Coopman Search and Selection
Description
Coopman Search and Selection are delighted to be partnering with a leading hedge fund who have circa $2 billion AUM.
In order to make an application, simply read through the following job description and make sure to attach relevant documents.
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.
Key Responsibilities:
As a Certified B CorporationTM, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to WorkTM, we ensure our workplace is one that fosters professional growth and collaboration.
