Risk & Compliance Associate

Alantra is an independent global financial services firm that provides investment banking and asset management services to mid‑market companies, families and investors. The Group has over 500 professionals in Europe, the U.S., Latin America, Asia and the Middle East.

In Investment Banking Alantra has completed over 1,000 transactions in the last five years. Alantra combines a strong local presence in key financial centres with global sector‑ and product‑specialised teams.

In Alternative Asset Management Alantra offers its clients unique access to a wide range of investment strategies in five highly specialised asset management classes (private equity, active funds, private debt, energy and venture capital). As of 30 September 2025 assets under management from consolidated businesses stood at 2.7 bn while those managed by firms in which the Group holds a strategic stake amounted to 14.2 bn.

Job Description : R&C Associate London

Department : Risk & Compliance

Reports to : UK Head of Compliance & MLRO

Location : London (with EU liaison)

About Alantra

Alantra is a global financial services group active in Investment Banking, Asset Management and Equities. The London office is a core hub for cross‑border advisory with the Risk & Compliance team supporting UK and EU activity across all business lines.

Role Overview

We are seeking an R&C Associate to provide day‑to‑day compliance oversight for our UK businesses and support coordination with EU affiliates. The role is close to deal activity, advising on regulatory issues, overseeing onboarding, monitoring conduct and conflicts and ensuring compliance with UK / EU regulatory requirements.

Ideal for candidates with 24 years experience in risk & compliance in FS or from a law firm (FS regulation) or compliance consultancy for financial services preferably in the UK.

Key Responsibilities

Advisory & Transactions

• First point of contact for deal teams on MiFID II, MAR, COBS and conduct queries.
• Review engagement letters, approve mandates and oversee KYC / AML.
• Provide regulatory input on deal structuring, disclosures, conflicts and client categorisation.

Engagement Oversight

• Ensure adherence to internal controls and approval processes.
• Review transaction documents, marketing materials and legal drafts for regulatory risks.
• Monitor cross‑border activity, market abuse, risk financial promotions and conflicts.

Information & Conflicts Management

• Oversee confidential information handling, insider lists and information barriers.
• Conduct first‑level conflict analysis and maintain conflicts registers.

EU Coordination & Group Support

• Align UK / EU engagement standards and review cross‑border materials.
• Support periodic file reviews and tailored compliance training.

Compliance Operations

• Contribute to the Compliance Monitoring Programme and FCA / non‑financial returns.
• Maintain compliance / AML risk assessments, risk registers and horizon scanning.
• Support prudential / ICARA work and SM & CR processes.

Requirements

Essential

• 24 years experience in Compliance Risk or Regulatory Advisory in FS legal (FS regulation) or consultancy (FS compliance).
• Experience with onboarding, engagement letters, approvals and transaction support.
• Knowledge of MiFID II, MAR, FCA rules, GDPR and AML / KYC.
• Solid understanding of financial instruments and strong knowledge of securitisation structures (ABS, MBS, CLOs, credit‑linked transactions).

Desirable

• Cross‑border regulatory exposure tied agents or passporting.
• Experience in compliance assurance or framework design.

Attributes

• Commercial, pragmatic and confident with front‑office stakeholders.
• Highly organised and detail‑driven.
• Collaborative and adaptable in a fast‑paced environment.

Employment Type : Full‑Time

Experience : years

Vacancy : 1

#J-18808-Ljbffr