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
Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to diversity, equity and inclusion. Suitable candidates with equivalent qualifications and more or less experience can apply. Rates of pay and salary ranges are dependent upon your experience, qualifications and training. If you wish to apply, please read our Privacy Notice describing how we may process, disclose and store your personal data: roberthalf.com/gb/en/privacy-notice.
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