Compliance Analyst - Global Investment Firm

2 days left

Recruiter
Gresham Hunt
Location
London, United Kingdom
Salary
£55,000 - £65,000
Posted
30 Apr 2022
Closes
30 May 2022
Ref
14700727
Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
Gresham Hunt are excited to partner with a unique Private Equity firm who are a Global Investor within Sustainable projects.

Key Accountabilities

Responsibilities:
  • Member of the Global Compliance team, providing support in their responsibility for the provision of pragmatic compliance advice to business partners in relation to the Firms' code of ethics activities and, where applicable, investment processes.
  • Assisting in day to day compliance administration and oversight of local regulatory requirements, including the responsibility for management of the Firms' Restricted List, Code of Ethics (CoE) tool and all CoE topics.
  • Maintenance of the compliance CoE breach register, production of and presentation of the compliance conduct report to the Conduct Risk Committee, investment expertise and trading teams.
  • Support the Senior Compliance Monitoring officer in carrying out Compliance surveillance activity, including but not limited to market abuse, best execution, telephone recording, electronic communication surveillance and manual allocations.
  • Support the Advisory team in the production of compliance management information and the completion of client attestations.
  • Administer the compliance responsibilities for the new joiner process, including the compliance induction and maintain the new joiners and leaver log.
  • Providing assistance in updating and continuous development of local policies and procedures.
  • Providing support to other areas of Compliance that may be required on an ad-hoc basis.
  • Support the Senior Advisory Compliance Manager on relevant projects and initiatives as agreed with the Compliance Advisory Manager.


QUALIFICATIONS

Qualifications
  • Experience of working in compliance department within a Financial Services background
  • Good communication skills, both oral and in writing, with the ability to work on multiple tasks simultaneously
  • A pragmatic and common sense approach to problem solving
  • Team player
  • Initiative
  • Good judgement
  • Ability to work independently once allocated a task

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