I have partnered with one of Europe's leading alternative asset management firms who are looking to hire a Compliance Analyst with a broad focus joining the legal and compliance function. You will be dealing day to day with compliance infrastructure & coordinating with external compliance consultants.
- Assist with AIFMD & Gabriel filings:
- Assist with FCA approved persons applications, as well as withdrawal forms following departure (subsequently replaced by the SMCR regime).
- Assist with electronic communications & telephone recording surveillance:
- Initial review of the periodic electronic communications surveillance reports;
- Quarterly surveillance of telephone recordings
- Assist with expert network surveillance:
- Initial review of periodic expert network surveillance reports;
- Assist with transaction reporting monitoring including the reconciliation of the data sent to Bloomberg against data received by the FCA.
- Assist with compliance monitoring (best execution, allocations, transaction reporting, mandate restrictions).
- Assist with keeping an up-to-date list of all trade counterparties and ensuring we have their current Best Execution Policy on file.
- Assist with keeping log of all ESG sub-committee meetings, memos, and follow up items (as well as minuting the ESG meetings), and reconciling ESG sub-committee meetings against the IC agenda, as well as chasing analysts to provide updated ESG memos.
- Assist with ensuring that Approved Counterparty List and all Procedures are up-to-date.
- Assist with online training and monitoring training attendance records.
- Assist with monitoring PA dealing, including collecting data around brokers' accounts, personal trades, chasing for contract notes and trade confirmations, as well as reconciling PA trades requests against broker's feeds.
- Transaction Monitoring
- Training Compliance
- 3+ year's experience within asset management compliance
- Strong academic background
- Excellent verbal and written communication skills
- Excellent analytical and research skills
- Ability to follow complex instructions and processes
- Proactive, self-supportive and motivated in the development of a positive compliance culture.
If you are interested in this role, please apply below or contact me for more information.
Eames Consulting is acting as an Employment Agency in relation to this vacancy.