Compliance Analyst
Hybrid · London, England, United Kingdom
Job Summary
Monitor investment guideline compliance and investigate breaches as part of Investment Guideline Compliance for an asset-management context. Responsibilities include monitoring pre, post, and batch trade alerts; interpreting fund documentation to assess regulatory impact; advising on actions for breaches (passive vs active); communicating breach-related updates to stakeholders; and supporting senior management with business and committee reporting. Requires strong regulatory knowledge, familiarity with systems like Charles River or Aladdin, and excellent communication and teamwork in a fast-paced environment. Hybrid London role with generous benefits and professional development opportunities.
Required Qualifications
- Minimum 12 months previous experience in Compliance
- Prior user experience of Charles River or Aladdin is required
- Technical: Prior knowledge in key regulatory issues and rule frameworks (UCITs, 40 Act, ERISA etc)
- Industry Experience: Typically, 1 to 2 years working experience at an Asset Manager or Investment Bank
- Nice to have: IMC or IAQ qualification desirable
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