Compliance Analyst

THE COMPANY:

Our client is a growing and dynamic boutique compliance consulting firm.

They are looking for a Compliance Analyst, ideally with SEC / CFTC / NFA knowledge.

Their core client base is comprised of asset managers so experience in from the Buy side will be useful.

THE RESPONSIBILITIES:

• Working with senior consultants and supporting them in their roles as the primary compliance resource for a number of retained client relationships
• Attending client meetings, both on-site and by video conference, in conjunction with senior consultants
• Assisting with setting up compliance infrastructure for clients
• Assisting with compliance projects, monitoring reviews, and drafting compliance monitoring reports
• Managing certain FCA application processes on behalf of clients, for example in relation to Approved Persons applications
• Assisting with preparation and delivery of compliance training
• Understanding and updating clients on regulatory change and how it impacts their business
• Providing strategic compliance advice, anticipating the regulatory compliance needs of our clients
• Building and developing client relationships

EXPERIENCE REQUIRED:

• 1 – 2 years’ experience gained within a compliance, specialist or management consultancy, asset manager (including hedge funds, private equity, real estate and other alternatives), law firm or a regulator such as the FCA, SEC, NFA, etc. Would be preferable but not essential
• An understanding of the UK regulatory landscape and the FCA Handbook
• Excellent customer service ethos

For further information please contact Duncan Jeffery