Compliance Analyst
We are seeking a highly motivated and detail-oriented Compliance Analyst to join our Compliance team.
Key Responsibilities:
1. Regulatory Compliance & Monitoring
* Ensure compliance with UCITS, AIFMD, MiFID II, AML, and other relevant financial regulations.
* Conduct compliance monitoring reviews to assess adherence to policies and procedures.
* Support the implementation of regulatory change initiatives and assess their impact on the business.
* Prepare regulatory filings and reports for submission to regulators.
2. Compliance Advisory & Oversight
* Provide advisory support to business units on regulatory requirements and compliance best practices.
* Review and approve marketing materials, financial promotions, and investment documents to ensure regulatory compliance.
* Develop and enhance compliance policies, procedures, and frameworks.
* Conduct due diligence on third-party service providers from a compliance perspective.
3. Training & Reporting
* Develop and deliver compliance training to employees on regulatory topics.
* Maintain compliance registers (e.g., breaches, complaints, personal account dealing).
* Assist in preparing compliance reports for senior management and regulatory bodies.
Requirements:
* 1-3 years of experience in Compliance, Risk, or Regulatory role within asset management, investment funds, or financial services.
* Strong knowledge of UCITS, AIFMD, MiFID II, AML, and other applicable regulations.
* Experience in compliance monitoring, regulatory reporting, and policy development.
* Ability to work independently while collaborating effectively with internal stakeholders.
* Strong analytical and problem-solving skills, with excellent attention to detail.
Why Join?
* Exposure to a broad range of compliance functions within a dynamic asset management firm.
* Opportunity to work in a collaborative environment with experienced professionals.
* Support for professional development and regulatory certifications.