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Our client is seeking a Compliance Analyst to join their dynamic Asset Management Compliance team. This role offers the opportunity to work in the heart of London's financial centre, in a state-of-the-art office designed for flexible working. This is an exciting opportunity to contribute to a global asset manager that helps institutions, intermediaries, and individuals around the world invest money to meet their goals, fulfil their ambitions, and prepare for the future.
What you'll do:
As a Compliance Analyst, your role will be pivotal in maintaining the integrity of our client's operations. You will undertake ongoing monitoring of trading and investment activities, ensuring that all actions comply with relevant regulations. Your excellent communication skills will be utilised as you liaise with overseas offices on compliance matters and advise investment teams. Your ability to review and draft internal policies will ensure that all procedures are up-to-date and compliant. Furthermore, your involvement in strategic and regulatory projects will provide an exciting challenge.
- Undertake on-going desk-based monitoring of trading and investment activities.
- Monitor substantial shareholding positions approaching disclosure thresholds daily.
- Ensure timely filing of disclosures.
- Liaise on compliance matters with overseas offices as necessary.
- Advise and assist investment teams on compliance matters.
- Support the compliance assurance team on scoping.
- Review and draft internal policies and procedures.
- Represent Compliance across different internal committees.
- Train investment teams as new requirements emerge or general BAU.
- Assist in implementing strategic and regulatory projects from a Compliance perspective.
What you bring:
The ideal candidate for this Compliance Analyst position brings a wealth of experience in asset management along with an understanding of evolving regulatory expectations. Your well-organised, self-motivated approach coupled with your thoroughness will be key assets in this role. Your excellent verbal and written communication skills will enable you to influence effectively within the organisation. With your monitoring and surveillance experience, you'll ensure that all activities are compliant with relevant regulations. Knowledge in public and private asset classes will further enhance your contribution to the team.
- Experience in asset management and understanding evolving regulatory expectations.
- Well-organised, self-motivated, and thorough approach to work.
- Excellent verbal, written communication and influencing skills.
- Monitoring and surveillance experience.
- Knowledge in public and private asset classes (Private Equity, Real Estate, Infrastructure, Insurance Linked Securities etc.).
- Minimum 2+ years in compliance.
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates
