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Compliance Analyst - Multi-Strategy Asset Management

Full Time
Greater London
20-04-2022 02:13 PM

This role will be integral member of the Compliance team undertaking core compliance activities as well as project-based initiatives

You will act as business partner across the organisation, providing advice on compliance and regulatory matters to Front Office, Marketing and Infrastructure teams as well as staff on a one-to-one basis

You will contribute and promote the strong compliance culture

Core responsibilities:

Best Execution ,Market Abuse, KYC/CDD

Other responsibilities:

Financial promotions , Compliance reviews, monitoring

Undertake bespoke project work to enhance the Compliance Monitoring Programme

Oversee the rollout of new staff Compliance training

Daily Position Disclosure (short sale, substantial shareholding and takeover positions) for all Funds

PA Dealing approval and monitoring

Gifts approval and monitoring

Conducting regulatory registrations and ensuring that Gabriel reporting is completed on time

Conducting Best Execution monitoring on a regular basis, including interaction with Investment Personnel to resolve any execution issues identified

Identification and monitoring of other conflicts of interest

Carrying out CDD/KYC checks for new funds and counterparties

Sanctions – ensuring firm remains abreast of latest sanctions

Market Soundings – treatment of inside information and the maintenance of the Restricted List

To assist with the drafting and review of UK Compliance Policies

Provide advisory assistance on compliance and regulatory queries arising out of areas relevant to compliance monitoring and the CMP.

Keep abreast of regulatory issues with respect to areas of monitoring and report the implications to the Global Head of Compliance


Be familiar with the UK FCA Handbook specifically the COBS, SUP, FUND and SYSC sourcebooks.

To have knowledge of markets and different asset classes is useful, including experience of debt, equities, hybrids and related derivatives and knowledge of how trades are structured and executed

To have familiarity with marketing rules (AIFMD and UCITS) across the EU

Please contact us in confidence to learn more

Fergus Hooley


07425 325267