Compliance Analyst

THE COMPANY:

Our client is a global wealth and investment management firm, seeking a Compliance Analyst to support the effective operation of the firm’s compliance framework.

THE RESPONSIBILITIES:

• Support the compliance team by responding to technical and administrative queries from internal or external stakeholders.
• Support the completion of due diligence questionnaires and information requests from fund management companies, platforms, distributors, and other stakeholders.
• Participate in and manage projects relating to new regulation and new processes.
• Liaise with UK and EU colleagues in compliance and other areas, representing the team in internal and committee meetings.
• Work with the Spanish office acting as conduit between UK and Spain to ensure good information flow and provide support to the Spanish compliance officer.
• Conduct routine monitoring of business and staff activities in line with the Compliance Monitoring Programme.
• Review marketing materials, websites and presentations to ensure compliance with regulations.
• Perform routine risk assessments to help organisations understand compliance risk, scope and significance.
• Maintain and update compliance registers and records, including conflicts of interest, gifts & hospitality and personal account dealing, ensuring all records are accurate, complete, and up to date.
• Review market abuse and best execution monitoring outputs, including alerts and identified outliers.
• Review of reported breaches and errors, assessing root causes, and providing clear, practical feedback to the business, including recommending proportionate improvements to controls to reduce likelihood of recurrence.
• Assist in the completion of day-to-day compliance tasks, including market share checks, reviewing portfolio and fund restrictions, and monitoring adherence to Takeover Panel requirements.
• Help maintain up-to-date compliance policies, procedures, logs, and records to ensure accuracy and good recordkeeping.
• Support the collation of management information relating to compliance and regulatory matters.
• Assist with the initial and ongoing assessment of staff competence in line with Senior Managers & Certification Regime (SMCR).
• Assist in the gathering of information internally in response to regulatory requests relevant to FCA, SEC, CNMV as well as internal governance reporting.
• Regulatory reporting (for example, using FCA RegData and SEC FINRA).
• Build effective working relationships across the business, responding to routine queries in a timely and professional manner.
• Support internal training efforts by helping prepare materials and sharing updates on compliance matters where appropriate.
• Engaging with colleagues on compliance regulations and the impact of non-compliance on the organisation.

EXPERIENCE REQUIREMENTS:

• Strong understanding of the UK wealth and asset management industry, its activities, products and services.
• Strong understanding of the UK regulatory environment for wealth and asset management firms.
• Understanding of fund management and the rules that govern UK & Irish investment funds
• Knowledge of SEC requirements and other jurisdictions would be an advantage
• Minimum of three years’ experience in Compliance within wealth and asset management industry.
• Demonstrated experience reviewing regulatory requirements and assisting with responses to internal or external regulatory queries.
• Proven ability to work within established policies and procedures, escalating issues appropriately and contributing to the identification of potential risks or process improvements.
• Experience collaborating with business stakeholders and producing accurate, timely compliance documentation, reports, or logs.
• Familiarity with key regulatory themes such as conduct risk, market abuse, consumer duty, vulnerable clients

For further information please contact Spencer Evans