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DATE ADDED: Fri 15/05/2020

Compliance Analyst

London, UK


JOB TYPE: Permanent, FullTime

SALARY: Competitive

  • Implement compliance monitoring and testing plans for group companies, ensuring that appropriate
    review procedures are followed, and producing detailed reports with clear findings and recommendations
  • Contribute to the continuing development, preparation and maintenance of the group’s compliance and
    AML/financial crime policies and procedures, as well as related training programmes
  • Assist with the timely preparation and submission of reports and other filings by group companies to
    relevant regulatory agencies and bodies, or otherwise in accordance with applicable regulatory
  • Liaise and consult with external compliance consultants, both in respect of advisory services (e.g. special
    reviews) and technology services (on-line compliance platform/tools).
  • Respond to regulatory, compliance and AML/financial crime related questions and requests from the firm’s
    investment team, key stakeholders and other departments
  • Assist the Senior Compliance Officer and Head of Legal & Compliance in providing regulatory, compliance
    and AML/financial crime updates and reports to senior management and governing bodies of group
    companies, both periodically and on a one-off basis
  • Monitor relevant legislation, regulations, rules and guidance, assessing the potential impact of any new
    developments on the firm’s business activities, systems and control arrangements, and making
    recommendations for necessary changes


• Approximately two years’ relevant work experience in financial institutions (ideally within

an investment bank and/or fund management or advisory business), including a

combination of compliance and AML/financial crime matters

• Broad general knowledge of relevant legislation, regulation, rules and guidance impacting

on the alternative/private funds industry, as well as the current regulatory environment and


• Familiarity with systems and control arrangements and operational best practices within

financial institutions, with a particular focus on compliance and AML/financial crime



• Work experience ideally should include at least one year as a compliance associate (or

equivalent) within the alternative asset management sector (private equity, real estate/

infrastructure, or hedge funds)

• Exposure to and/or dealings with regulators, especially FCA (UK) and SEC (US)

• Familiarity with cross-jurisdictional situations and issues

• Formal training as an accountant or paralegal