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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: almost 2 years ago

Job Description

Lawson Chase are working closely with a leading asset management firm in recruiting an experienced Compliance Analyst to join their London based compliance team.


About The Company

Our client is one of the world's largest independent investment management firms. Managing over $1 trillion of client assets that serve as a trusted adviser to institutional clients and mutual fund sponsors in over 50 countries. The firm's innovative investment solutions are built on the strength of proprietary, independent research and span nearly all segments of the global capital markets, including equity, fixed income, multi-asset, and alternative strategies. As a private partnership whose sole business is investment management, their long-term views and interests are aligned with those of their clients. The firm is committed to attracting a talented and diverse workforce, and to fostering an open, collaborative culture of inclusivity because they believe that multiple perspectives lead to more informed investment and business decisions. As an Equal Opportunity Employer, the firm welcomes people with diverse life experiences, fresh ideas, and specialized subject-matter expertise.


About The Role

The firm is currently seeking a Compliance professional to support the the firm's funds business, with a focus on the compliance programme. Based either in Luxembourg or London, the primary focus of the role will be to assist the Compliance Officer in developing the local risk-based compliance monitoring programme. The role includes providing oversight of the UCITS investment restrictions for our Luxembourg and Dublin funds and advice to the business on UCITS eligibility questions. The position will also cross cover with other positions within the group. The Analyst will report to the Compliance Officer and will work closely with the broader Legal & Compliance team, particularly in relation to the compliance monitoring programme.


Key Responsibilities

  • Assist the  Compliance Officer in identifying rules in force relevant to the business and undertake regulatory risk assessment.

  • Undertake monitoring; prepare and issue reports of the testing and results and escalate as necessary, including to the relevant boards and committees; and assist in the design and implementation of future reviews. 

  • Assist with the provision of advice and training to the  business.

  • Review & maintenance of compliance policies, practices, structures & procedures

  • UCITS eligibility and compliance

  • Maintain regulatory related registers, e.g. Breach, conflicts, PAD 

  • Provide general support to the l Compliance Officer.

Skills & Experience

The successful candidate is likely to:

  • Have a strong academic background, including an undergraduate degree;Have relevant experience, ideally gained at another Asset Management firm. Experience of working with/supporting fund activities (specifically in relation to fund marketing and cross border distribution) is strongly preferred;

  • Demonstrate strong compliance knowledge, particularly as it relates to the sale and marketing of funds in multiple jurisdictions;

  • Demonstrate a strong working knowledge of, and interest in, financial markets;

  • Have good business judgment, and be able to work under pressure, both independently and as part of a team.


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