4 дня назад
Analyst, Compliance
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Analyst, Compliance (UK Regulation): Supporting the London-based compliance team by maintaining regulatory records, monitoring plans, registers, filings, and compliance certifications with an accent on FCA requirements, regulatory reporting, and audit support. Focus on performing compliance checks, identifying exceptions, managing restricted and insider lists, and using AI to improve compliance efficiency.
Location: London, United Kingdom
Company
is an investment firm focused on private markets, bringing together people, ideas, and capital to support company growth and investor performance.
What you will do
- Support the UK regulatory compliance program for regulated entities, employees, clients, and investment businesses.
- Maintain monitoring plans, compliance registers, books and records, staff compliance files, and the compliance calendar.
- Perform periodic compliance checks, prepare testing reports, identify exceptions, and support compliance monitoring.
- Prepare materials for board meetings, regulatory requests, audits, and compliance oversight committee meetings.
- Manage regulatory filings through FCA RegData and Connect, marketing approvals, personal trading statements, and compliance certifications.
- Support SMCR reviews, expert network approvals for EMEA, restricted and insider lists, and ad hoc compliance projects.
Requirements
- Bachelor’s degree.
- 2–4 years of experience in compliance or a professional support role within private equity, hedge funds, asset management, investment banking, or regulatory consultancy.
- Knowledge of UK regulation and compliance requirements, including FCA rules and guidance, is desirable.
- Strong analytical, organisational, written, and verbal communication skills with excellent attention to detail.
- High proficiency in technology, including AI and related technologies.
Culture & Benefits
- Work within a London-based compliance team supporting a global private-markets investment platform.
- Exposure to regulatory monitoring, audit support, board reporting, and compliance oversight processes.
- Opportunity to use AI and technology to improve compliance efficiency.
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