Compliance Analyst - Asset Management (12 month FTC)

12th February 2019
Permanent West End & Mayfair
£36k - £38k + Benefits
This vacancy is now closed

Our client is looking for a Compliance Monitoring Analyst to support the Compliance Manager and wider business across a range of compliance factors.


What’s in it for me?

You will learn all about:

  • Working knowledge and understanding of AIFMD, MiFID II, SMCR and the FCA Handbook;
  • Brexit Contingency planning;
  • Working knowledge of KYC and AML legislation and procedures;
  • Working knowledge and understanding of the financial promotions rules.


Key Responsibilities and Duties:

  • Maintaining Logs – Breaches, Conflicts, GDPR, approved persons, remuneration code staff, gifts;
  • Financial promotions;
  • Prepare first drafts of due diligence questionnaires, FCA applications;
  • Advise teams on KYC requirements and conduct KYC exercises for new and existing clients;
  • Work with wider team to implement regulatory change.



  • Good Excel skills (pivots, macros etc.);
  • Organized;
  • Keen to learn;
  • Able to work independently and within a team;
  • Good attention to detail;
  • Interpersonal skills to work with various teams.


Qualifications and Experience Requirement:

  • Strong academic background, preferably 2.1 or higher, preferably Maths, statistical or Computer Sciences degree.