Compliance Analyst

Job Description

The Compliance Analyst role is a key position within the business, supporting both the standard internal compliance requirements of authorized firms within a Group, and external compliance requirements related to investors, clients and Appointed Representatives (ARs). Working with and supporting the compliance team the role holder will help ensure the Firm and its ARs have appropriate systems and controls to maintain robust and pragmatic compliance with FCA rules and guidance.  

The Compliance Analyst will be expected to bring a good base-level of regulatory compliance as well as strong professional competence to a role they wish to develop in. A solid understanding of the UK’s regulatory framework and in particular the investment space will be required; experience of the venture capital sector would be useful. This knowledge will likely come from previous work experience in the sector either in compliance or other associated roles and potentially from formal industry qualifications.

As part of the wider Compliance Team, they will assist with risk and compliance oversight internally as well as contributing to the governance framework for ARs and other client firms. They will be able to take ownership of distinct areas of compliance focus, whether project-based or enduring workstream-based, with more responsibility and autonomy as their professional knowledge increases. They will be able to work well in a team and under direction as well as being self-motivated and able to work on their initiative in an entrepreneurial environment. 

Line Manager: Head of Compliance  Principal Responsibilities

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Skills and Qualifications

·        Undergraduate degree preferable but not essential

·        Relevant compliance qualifications preferred but not essential (Level 3/4 CISI or equivalent)

·        Good general knowledge of UK investment products, preferably venture capital (specifically AIFMD and MiFID regulations)

·        Knowledge of SDR would be advantageous but not essential

·        Strong working knowledge and proficiency in Microsoft Excel and Word

·        Excellent verbal and written communication skills in English

·        Ability to work independently and in a team

·        Demonstrable initiative

Skills and Qualifications 

•Undergraduate degree preferable but not essential

•Relevant compliance qualifications preferred but not essential (Level 3/4 CISI or equivalent)

•Good general knowledge of UK investment products, preferably venture capital (specifically AIFMD and MiFID regulations)

•Knowledge of SDR would be advantageous but not essential

•Strong working knowledge and proficiency in Microsoft Excel and Word

•Excellent verbal and written communication skills in English

•Ability to work independently and in a team

•Demonstrable initiative