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Legal and Compliance Analyst

9756
To £45,000
Full Time
Oxfordshire
Oxford
04-08-2023 01:08 PM
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An excellent role at a boutique and highly prestigious asset manager

Reporting to the Head of Legal and Compliance

Purpose

Works closely with the operations and investment teams to provide legal, compliance and governance support across the investment portfolios, and for the regulated investment manager. The role is diverse and offers the opportunity to input into legal, compliance, regulatory and risk matters for the organisation including facilitating commercial contracts

Accountabilities

Regulation

  • Supports the implementation of regulation applicable to the firm by forming an understanding of any new rules and translating the requirements into business processes
  • Assists with the implementation of compliance procedures and policies, regulator filings and escalation of any compliance issues within the firm
  • Protects the firm and its data through drafting and reviewing non-disclosure agreements, reviewing Freedom of Information Act requests and assisting with any data protection issues and queries and/or subject access request

Compliance

  • Assists with optimising the effectiveness and ease of compliance and legal processes
  • Manages compliance processes such as those associated with Senior Managers & Certification Regime; Gifts & Entertainment; Conflicts of Interest; Personal Account Trading; Best Execution and responding to related queries

Legal

  • Supports the implementation of investment decisions through completion of relevant legal, tax and compliance documentation
  • Supports commercial arrangements by reviewing and drafting commercial agreements

Performs other duties and assists with additional areas, special projects

Experience & Skills Required

Work Experience and Knowledge:

  • Some experience (1-2 years) of working in a legal, compliance or other control-related function in a financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof
  • Previously worked within Asset Management with technical knowledge
  • Working knowledge of FCA regulations and the AIFMD
  • Understanding of control and compliance risk management

Education/ Qualifications:

· Degree Educated

Fergus Hooley

DIRECTOR - COMPLIANCE

07425 325267
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