About The Role
The Compliance Analyst will be the London team member within the Global Regulatory Reporting team. They will assist in ensuring all the firm’s global filing disclosure obligations related to beneficial ownership and aggregate ownership are met taking responsibility for ensuring that any immediate filings in the Asian and European time zones are appropriately made. The Compliance Analyst is expected to provide ongoing assessment of system capabilities and risk mitigation strategies, as well as working with the team to define priority, project scope, and business requirements.
The Compliance Analyst will report directly to the Chief Compliance Officer and will work closely with the Regulatory Reporting team in the US.
The position’s primary responsibilities include, but may not be limited to:
- Analyze and report on the firm’s major shareholding reporting requirements on a global basis. 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
- Contribute significantly in team projects by effectively gathering and documenting business requirements as well as user acceptance testing
- 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 our 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 analyzing key variables
The individual may also be involved in the following:
- Supporting other Regulatory Reporting projects within the team
- Participation in department or firmwide project based initiatives
- Cross coverage for colleagues as appropriate
Skills & Qualifications
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 organizational 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 our 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 analyzing, monitoring, and filing reports.
Strong academic credentials and candidate is likely to have a minimum of 4-6 years of relevant professional experience, gained within the Financial Services industry. This will ideally include at least 2-3 years’ experience with regulatory reporting/filings.