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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: 3 months ago

Job Description

Seeking: Compliance Analyst to join the Compliance and Legal team of a London based asset management firm.


The Role

The successful candidate will provide compliance support to both Fund Managers and Portfolio Managers with a particular focus on monitoring, including both regular and ad hoc audits.

This includes:

  • general support to COO and Head of Compliance & Legal

  • ability to provide effective cover for other areas within the Compliance team – e.g., breach reporting/analysis, CASS etc.

  • support for in-house committees (e.g. Conduct & Policies, Financial Crime)


Key Responsibilities


  • Assist with the Compliance Monitoring Programme

  • Assist with preparation of monthly written report detailing the status of monitoring, issues identified and remedial action recommended.

  • Assist with rolling review of the compliance monitoring programme to ensure that

    • all areas of the business are appropriately monitored; and

    • all changes to regulations are incorporated into the monitoring

  • Assist with planning and execution of internal thematic reviews

  • Assist due diligence reviews of Third Party outsourced providers including custodians, depositary and transfer agents, as applicable; providing meaningful reports to Senior Management including conclusions of findings.

  • Conduct review, investigation and analysis of breaches, including liaising with internal departments and 3rd party administrators.

  • Ensure that all incidents are recorded as appropriate; including ensuring remedial action is undertaken and completed. Recording all breaches through the appropriate internal mechanism.

  • Assist in the analysis of the impact and implementation of new regulatory rules and guidelines.


Minutes / Support of Committees

  • Performing secretarial duties for in-house committees as necessary, as and when required.


General Support to the Head of Compliance and Legal

  • Providing general support to the Head of Compliance & Legal and Chief Operating Officer through:

  • research connected with new products or projects;

  • day to day management of agreed projects;

  • production of regular and ad-hoc reports to Senior Management;

  • production of regular and ad-hoc reports to various Compliance and Risk related Committees;

  • maintaining up to date procedures;

  • ability to use own initiative to complete agreed tasks.



  • Candidate will be cross trained to enable them to provide cover for other key areas of Compliance team’s work

  • Consideration of FCA rules and other relevant rules and the principles of treating customers

  • fairly in relation to all documents, procedures, the website and digital content


Skills & Experience

  • Team player with a positive, results orientated approach;

  • Communication skills with the ability to communicate effectively – both written and verbally at all levels, including drafting ability.

  • Strong Interpersonal skills;

  • Ability to prioritise workload and adhere to deadlines; Demonstrable / Problem Solving and analytical skills.

  • Ability to demonstrate tact and diplomacy when coping with difficult situations;

  • Good administrative and personal organisational skills;

  • Good report writing and minute taking skills;

  • Good numeracy skills, including some accounting knowledge.

  • Good IT skills / ability to use Microsoft Office and Excel (to at least Intermediate level).

  • Experience of using Bloomberg AIM

  • Ability to work under considerable pressure and adhere to strict timescales.

  • Attention to Detail

Ref: | Published: 08 May 2019