Compliance Analyst

  • Competitive
  • Londres, Angleterre, Royaume-Uni
  • CDI, Plein-temps
  • Westbourne Partners
  • 23 nov. 17 2017-11-23

We are searching for a Compliance Analyst for a London based Hedge Fund. The role will be assisting in the monitoring of electronic trading, ensuring the investment performance is of the highest quality. Driven by a dedication to building sustainable competitive advantage within the investment management industry, the firm’s proprietary approach combines both process-driven and manager-led strategies. A strong Compliance culture is a core attribute and expectation of the firm.

Required skills:

  • Have an understanding of quantitative investment decision and trading models and the applicable regulatory environment.
  • Be capable of analysing compliance issues for which a systems-based solution is appropriate and, in conjunction with the firm’s IT function, designing and implementing those solutions.


Preferred skills:

  • Deliver, mainly to the UK business, day-to-day regulatory work and, in a pressured environment, support and advice.
  • Assess the effectiveness of current policies, procedures and controls by undertaking monitoring of selected areas in accordance with the firm’s compliance monitoring programme, and assist in the ongoing enhancement of that monitoring. 
  • Establish and maintain relationships at all levels of the business and within the Compliance team primarily in London and globally.
  • Assist in the analysis of, and implementation of appropriate responses to, new or changed regulatory requirements in conjunction with other members of the Compliance team.
  • Assist in the drafting and updating of firm and group-wide policies and procedures, delivery of compliance training to the business, and aspects of local regulatory reporting.
  • Prepare MI and other reports on compliance and regulatory issues for senior management, the firm’s governing bodies, boards of funds managed by the firm.

Preferred qualifications and key attributes:

  • Educated to degree standard, with a preference for a Science background.
  • Highly numerate with strong analytical skills and a sound knowledge of technology.
  • Confident and articulate, with excellent written and verbal communications skills.
  • Excellent report writing ability.
  • Good attention to detail and sound planning, prioritisation, problem solving and organisational skills.


Preferred experience:

  • Experience gained at a buy or sell-side firm, including the provision of advice to front and middle offices and undertaking compliance monitoring.
  • Sound knowledge of the FCA Handbook, in particular the Conduct of Business and Market Conduct rules, as well as the AIFMD.
  • Awareness of forthcoming European legislation, including MiFID II.
  • Knowledge of overseas regulatory matters, in particular SEC and NFA regulations relevant to hedge fund managers, an advantage.