We are seeking a talented Compliance professional to join this well-established investment management firm, supporting a small high-performing Compliance team and working closely with the firm’s investment professionals.
Reporting to the Compliance Officer, this is an opportunity offering broad exposure across the business, hands-on involvement in day-to-day compliance activities, and significant participation in systems and project work aimed at improving compliance processes.
The role will suit a bright, proactive and detail-oriented compliance professional with 2-4 years' experience looking to take the next step in their career. Knowledge of investment and trading activities will be highly advantageous.
Key Responsibilities
* Pre-trade compliance support including reviewing trades against the relevant EU regulatory obligations and internal investment guidelines
* Assisting with wall crossings and management of the MNPI process
* Help with the EU and UK regulatory filings and disclosures
* Assist with the firm’s compliance program covering personal account dealing, gifts & entertainment, restricted list maintenance, and surveillance of trading activity, transaction reporting and electronic communications
* Partner with Portfolio Managers and Traders to understand the scope of securities they are trading/monitoring to pre-empt restrictions that may predicate trading activity
* Assist the Compliance Officer to educate and train employees on compliance issues and industry developments
* Be a resource to business groups to resolve compliance issues in accordance with firm policies
About You
* Educated to degree level
* 3–6 years of regulatory experience from an asset manager, hedge fund or sell side firm
* Knowledge of MiFID II requirements and other EU and UK regulations
* Strong risk awareness and understanding of regulatory frameworks.
* Highly analytical and detail-oriented with a critical mindset and investigative approach.
* Strong sense of ownership, with the ability to work independently and meet tight deadlines.
* Effective multitasker with excellent communication and interpersonal skills.
We really appreciate your time and interest in this opportunity. While we would very much like to respond to each applicant individually, this is not always possible due to the high volume of applications. Thank you for your understanding.