Compliance Analyst – 5 days in the office

THE COMPANY:

Our client is a London based investment manager, seeking a Compliance Analyst to join the growing business. This role offers exceptional visibility across the business and the opportunity for fast professional development, within a high performing hedge fund environment.

THE RESPONSIBILITIES:

• Support the firm in meeting FCA, SEC, and applicable overseas regulatory requirements.
• Assist in preparing for quarterly FCA reviews and annual SEC compliance reviews.
• Conduct testing under the Compliance Monitoring Programme (experience with Compliance Alpha or similar tools is beneficial).
• Carry out telephone monitoring, email surveillance, and expert network call chaperoning.
• Maintain and update the Compliance Policies & Procedures Manual.
• Assist with drafting responses to DDQs/ODD questionnaires.
• Prepare draft FCA/SEC regulatory filings (e.g., Form ADV, 13F/G/H, CFTC filings, Form D).
• Oversee internal registers (conflicts, gifts & entertainment, breaches, attestations, training).
• Prepare initial drafts of annual Compliance and AML reports.
• Support sanctions and anti money laundering controls and ongoing monitoring.
• Manage wall crossing and market sounding processes and handle shareholder disclosure requests.
• Review marketing materials for compliance with FCA and US Marketing Rule requirements.
• Assess compliance considerations for new business initiatives (fund launches, instruments, counterparties, new business lines).
• Encourage a strong compliance culture across the firm through training and engagement.
• Liaise with external counsel on ad hoc matters.
• Assist in negotiating agreements including NDAs, trading agreements, marketing agreements, research agreements, IMAs, and management company contracts.

EXPERIENCE REQUIREMENTS:

• Experience in an equity asset management environment, ideally in compliance.
• Strong academic background (2:1 or above; law degree helpful but not essential).
• Exposure to UK and US regulatory environments; Cayman/Ireland experience a plus.
• Strong communication and interpersonal skills; able to work confidently with all levels of staff.
• Excellent organisational skills with the ability to manage multiple priorities.
• Analytical, methodical, and able to work independently.

For further information please contact Spencer Evans