Compliance Analyst
Venture Capital firm
London (hybrid working)
£45K-£55K plus bonus
The duties:
* Personal dealing approvals, administration and monitoring
* Financial crime: onboarding, AM, CDD for fund investors, monitoring AML checks on portfolio transactions, producing AML representation letters, administering insider lists and stop list
* Undertaking monitoring review work and assisting in preparation of compliance monitoring plan
* Assisting with review and maintenance of Compliance policies
* Assisting with reviewing and approving financial promotions and communications such as fact sheets, press releases, presentations, websites, fundraising documentation
* Maintenance of compliance registers
* Assisting with regulatory submissions
* Data protection: administration of data processing records and compliance with retention policy
* Training: editing online training modules or powerpoint presentations and management of online training system
* Monitoring regulatory developments and assisting with reviewing their impact
* Administration of SMCR matters such as annual staff questionnaire, fitness and propriety checks, FCA Directory entries, regulatory references
* Consumer Duty: assisting with collation of data for value assessments, product reviews, reports to Executive Committee
The requirements:
• Experience in investment management compliance, ideally including asset management, private equity or venture capital experience