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Compliance Analyst

Information About This Job

Job Title: Compliance Analyst
Contract Type: Permanent
Location: London
Contact Name: Mark Foy
Contact Email:
Job Published: 5 months ago

Job Description

We are looking to hear from experienced compliance professionals, on behalf of a leading London based asset management company, who are looking to hire a Compliance Analyst.


About The Role

The firm is seeking a Compliance professional to act as the London representative within the Global Regulatory Reporting team. The team works to ensure the firm meets all of the firm’s global filing disclosure obligations related to beneficial ownership and aggregate ownership. This position takes the lead responsibility for making time sensitive filings in the Asian and European time zones. Based on past experience, they also expect that the Analyst will take on wider Compliance responsibilities as the circumstances for their prime responsibility permits.

The position will report directly to the Chief Compliance Officer and will work closely with the Regulatory Reporting team in the US.


Key Responsibilities

  • Analyse and report on the firm’s major shareholding reporting requirements. Analyst is responsible for determining if a filing is required, and completing the filing obligations at all applicable thresholds.

  • Coordinate with internal and external legal counsel to understand, review, and update beneficial ownership reporting requirements and develop procedures and workflows to comply with evolving regulations with a focus on European and Asia n requirements.

  • Manage and build strong relationships with our aggregate ownership reporting application vendor.

  • Gather market intelligence on upcoming new or changing filing requirements and be positioned to adhere by developing new reporting requirements and designing procedures with major shareholding application vendor and internal IT Team.

  • Responsible for implementation and control of enterprise wide ownership limit setting in accordance with firm’s aggregate ownership policy.

  • Critically evaluate requests regarding aggregate ownership limits by effectively gathering and analysing key variables.

  • Additional responsibilities within the Compliance team as circumstances dictate (e.g. Financial Crime, Marketing, Testing, New regulations, Code of Ethics etc).


Skills & Experience


  • The candidate should display sound business judgment in creating and implementing creative business solutions to complex issues in a compliance-reporting context.

  • The candidate should be self-confident, energetic, have an inquisitive mind, and be controls conscious.  

  • Strong organisational skills, an ability to manage assignments with competing priorities with tight deadlines, excellent communication skills, and the ability to work both independently and as a member of a team are critical.  

  • Attention to detail and computer literacy (knowledge of Word, Excel, and similar tools) are important, as is the desire to learn aggregate beneficial ownership system, firm data structure, and other reporting tools.


  • A strong working knowledge of long, short, and takeover filing obligations is a plus.  As is an understanding of corporate structures, business analytics, data hierarchy and prior experience analysing, monitoring, and filing reports.  

  • Strong academic credentials.

  • The candidate is likely to have of relevant professional experience, gained within the Financial Services industry (ideally within regulatory reporting/filings).


Ref: | Published: 04 Apr 2019