Role details

Compliance Monitoring Analyst

London   •   £40,000 - £50,000   •  Permanent

Bullet points

  • Remarkable opportunity for a Compliance Monitoring Analyst
  • Reporting to the Head of Compliance

About Our Client

European Financial Service Investment Management business

A well established business and profile.

Excellent growth over the past 30 years, 12 million AUM.

Job Description

Compliance Monitoring Analyst will support the Head of Compliance, responsibilities include:

  • carrying out compliance monitoring against the Global Compliance Manual rules, including, personal account dealing, gifts and entertainment, conflicts of interest and political donations,
  • producing reports for senior management on compliance monitoring findings,
  • leading on anti-money laundering (AML/ CFT) checks on investors and on deals,
  • taking responsibility for the compliance registers, including (i) breach register, (ii) conflicts of interest register, (iii) leaks register, (iv) personal account dealing register, (v) gifts and entertainment register and (vi) political donations register,
  • submitting FCA and SEC regulatory filings on a timely basis,
  • assisting with the development of the compliance monitoring programme,
  • responding to investor queries, and
  • developing the compliance procedures and policies in accordance with best practice.

The Successful Applicant

Ideally the Compliance Monitoring Analyst will have Private Equity or Investment Management experience

CASS and SYSC experience would be advantageous

A detailed understanding of FCA regulatory rules and standards, including PRIN, SYSC, SUP, CASS, MAR, APER, COBS and PERG;

A self-starter who embraces responsibility and can manage their own time;

Location: London

What's on Offer


Apply for this job

Click the Apply or LinkedIn button below or contact Andrea Kavanagh on +44 20 7645 1428 quoting job reference 13767012
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