REGULATORY RISK & COMPLIANCE ANALYST – ASSET MANAGER – LONDON
Our client is a leading European Alternative Asset Manager operating in the Hedge Funds industry with offices across Europe.
The appointment is based in London, and reporting directly to the Chief Compliance Officer, the appropriate candidate will be responsible for all applicable regulatory requirements affecting the Asset Management business.
Our client is regulated by the FCA(UK), AMF(France), SEC(US), NFA/CFTC(US), AFM(Netherlands), CSSF(Luxembourg) and the CBI (Ireland).
- Conducting and co-ordinate risk-based monitoring reviews and controls as part of the Compliance Monitoring Programme.
- Assessing regulatory requirements and internal policies.
- Assisting with regulatory inspections or enquiries and coordinating responses with input from relevant stakeholders.
- Performing regulatory disclosures to comply with local financial authorities (FCA).
- Conduct controls on portfolios and investments.
- Perform controls on market conduct rules.
- Assist in the development and update of compliance manuals and key operating procedures and policies for AM
The successful candidate will form part of the Group’s Legal and Compliance team which is currently a team of 7 spread across the Group’s offices. The successful candidate will be the main point of contact for in person queries at the London office and will be expected to resolve or escalate issues to the wider team. The role offers excellent exposure to an experienced front office of traders, analysts, and sales team as well as high level management in an exciting and dynamic environment.
The ideal candidate should have:
- University degree in Economics, Law or equivalent, Compliance Management certificate.
A minimum of 1 to 3 years’ experience in financial services industry (with a strong bias to Asset management) as Compliance Officer
Established experience in dealing with Asset Management regulation in the UK and EU.
Good understanding of regulatory reporting for Asset Management activities, market conduct rules and FCA and EFSA regulations
Analytical and diplomatic skills
Fluent in English, French a plus
The successful candidate will also perform regulatory disclosures across mostly European jurisdictions and will be trained in market abuse surveillance and periodic monitoring. As a small team and firm, the role offers the candidate the opportunity to grow in his role and focus on areas of interest.