Feb 14, 2018

Private Equity Firm: Compliance Analyst

  • Financial Services
  • London, United Kingdom
Full time Compliance Private Equity

Job Description

In this role, you will be responsible for administering of a number of key Compliance procedures designed to ensure that the firm fulfils its Compliance obligations, and avoids reputational damage.  You will get exposure to a wide spectrum of Compliance areas and issues, as well as work closely with various support groups.


Responsibilities of the Role

Code of Ethics

  • Administrating the firm’s global automated Compliance system for personal trades,  outside business interests, gifts and entertainment requests

Compliance Monitoring Programme

  • Assisting in the execution of the firm’s Compliance monitoring and testing programme

Registrations and Training

  • Work on FCA, SFC and MAS applications under the guidance of the firm’s Compliance associates
  • Assist in onboarding new hires and maintain training logs and the access persons list

Control Room 

  • Facilitating wall crossings from initial request to the closing out of a wall crossing period
  • Maintenance and administration of systems used to restrict staff trading and record wall crossings

Filings and Record Keeping 

  • Organise and maintain all Compliance files and records, including approved marketing materials,  investor categorisation records and the breaches log
  • Keeping current on all corporate Compliance filing requirements/deadlines as directed by the Compliance associates
  • Assisting in the administration of various hedging reporting and disclosure requirements in Europe, Asia and the U.S.

Deal KYC

  • Undertaking KYC and anti-bribery corruption and sanctions checks on M&A transactions and co-investors

Group Projects

  • Work on projects assigned by the Compliance Director
  • Assisting in developing policies and systems for firm-wide administration of Compliance issues
  • Assist on the implementation of new Compliance procedures


Qualifications & Experience

  • Degree qualified; preferably in law, finance or business
  • Previous experience in legal/ risk/ compliance, preferably within a PE or investment banking environment
  • Demonstrable understanding of investment banking and/or alternative investment businesses and products
  • General knowledge of the concepts of conflicts of interest
  • Have an understanding of risk management and demonstrate the ability to recognise regulatory risks relating to business decisions 
  • Control room experience is an advantage 


Skills & Attributes

  • Ability to work well in a team environment, as well as independently 
  • Strong attention to detail 
  • Excellent communication and negotiation skills 
  • Confidence to challenge information and raise with relevant key stakeholders where necessary
  • Able to learn quickly 
  • Effective organisational and time management skills
  • Ability to speak other languages is desirable



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