Compliance Analyst

  • Location

    London, England

  • Sector:

    Banking & Financial Services

  • Job type:

    Permanent

  • Salary:

    £50000 - £60000 per annum

  • Contact:

    Jack Hitching

  • Contact email:

    trdaxtraadresp@thesrgroup.com

  • Job ref:

    PR/207463_1646744133

  • Published:

    2 months ago

  • Expiry date:

    2022-04-07

The Compliance team comprises over 45 individuals in the UK, reporting through to the Global Head of Compliance. The Compliance team located in the UK covers Investment, Distribution, Financial Crime Risk, Core Compliance and Wealth Management.

We are looking for a Compliance Analyst who will be reporting into one of the senior managers with in the Global Investments Compliance team. The Investment Compliance team is currently 10 individuals in the UK and 6 individuals across the Non-UK offices.

Play a key role in aligning the compliance framework to supporting the Investment teams across asset management. The role will require the individual to interact with compliance and business teams. The activities include the provision of advice and support, surveillance and monitoring, training and assisting in strategic firm projects and implementation of new regulations.

  • Undertaking on-going desk based monitoring of trading and investment activities
  • Liaise on compliance matters, with overseas offices as necessary
  • Advise and assist investment teams on compliance matters, acting as a trusted advisor
  • Contribute to risk based surveillance of investment management activities.
  • Support the delivery of relevant thematic reviews.
  • Review and draft internal policies and procedures.


Skills required

  • 3+ years in compliance
  • Well-organised, self motivated and thorough.
  • Ability to communicate and present
  • Good verbal and written communication skills
  • Broad technical (markets and regulatory) knowledge.
  • Monitoring and surveillance experience/interest.
  • Experience or knowledge in all public and private asset classes

Personal attributes

  • Team skills: A "team player" who displays a high degree of interpersonal skills, tact and diplomacy with all constituencies. Possesses strong collaboration skills with peers and colleagues within and outside the Compliance, Legal and Governance group.
  • Intellectual flexibility and project management: Ability to quickly grasp and solve problems and to prioritize multiple competing projects and initiatives and focus resources in line with such priorities.
  • Astute at proactively identifying and shaping new industry, product or technical knowledge which will be advantageous to the business and awareness of current and evolving customer needs. Possesses a strong sense of urgency and an exceptional work ethic and is accustomed to a high degree of rigour, accuracy, detail and complexity.
  • Business Acumen: Has the desire and capability to get involved in the details of key business issues. Operates collaboratively across business teams and can meaningfully translate corporate strategy to the Compliance team.

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.

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