Compliance Analyst - AIFM experience ESSENTIAL
This range is provided by Austin Andrew. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range
Direct message the job poster from Austin Andrew
Our client manages close to £10billion AUM, employing in excess of 200 staff from its City of London offices
The role can include (but not limited to) assisting with reviewing financial promotions and marketing material to ensure the firm meets its regulatory responsibilities, working with the team on undertaking the Compliance Monitoring Programme, and helping or leading on regulatory change projects
Key Responsibilities/Accountabilities
- Undertake testing in line with the Compliance Monitoring Programme, working with the business on issues identified to ensure they are reported, and remediation is completed where needed. Review and develop the program to ensure regulatory risks are captured
- Ensure potential conflicts of interest are reviewed and appropriately escalated and recorded in line with Policies and Procedures
- Assist in the development of policies and the establishment of reviews of procedures and policies where needed
- Develop relationships with all relevant internal and external parties (such as ACD, custodians and various fund boards and committees), to ensure a culture of continuous improvement
- Be responsible for reviewing, recording and approving day-to-day compliance requests such as:
- PA Dealing
- Gifts and Benefits
- Outside business interests
- Assist the team by undertaking KYC, identification and sanction screening checks were required
- Assist the business by providing regulatory guidance where required
- Stay informed of regulatory developments and how they would impact on the business
- Carry out other duties and projects as and when required in line with team objectives
Skills & Experience
- The job holder will have gained experience within the Compliance function of an AIFM
- Experience of AIFMD regulations
- Excellent initiative and administration skills: proactively taking ownership of matters
- Strong verbal and written communication skills: externally and internally, including managing expectations proactively
Please note - the firm seeks a candidate who is happy to be in the office for four days per week
Seniority level
Associate
Employment type
Full-time
Job function
Analyst
Industries
Investment Management and Venture Capital and Private Equity Principals
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