Compliance Operations Analyst

Job Title:                           Compliance Operations Analyst

Contract Type:                  Permanent, full-time

Location:                            Warsaw

Department                       Compliance

What the Hiring Manager says….

This is an excellent opportunity to join a great team that is well respected across ICG. We are a small collaborative team who work hard but work in a great environment within the team and across ICG generally. This role will provide foundational operational support for the global Compliance team. Qualifications are not as important as a can do attitude and the ability to work as part of such an outstanding team. Extensive training will be provided to the correct candidate. Join us to build on your Compliance knowledge and to move to the next step in your Compliance career.

Summary of our opportunity

The Compliance team consists of 22 employees, situated across London, Warsaw, Singapore, Luxembourg and the US.  As a small team supporting a unique group, roles are varied, often challenging, and cover a broad range of regulation and all jurisdictions in which the Group operates. Collectively the team support 10 regulated entities offering investment management and advisory services from five core jurisdictions. Our private funds include Mezzanine and Equity, Credit, Senior Debt, Real Estate and Secondaries and are marketed into 30+ jurisdictions.

As part of this team you will be responsible for providing operational support to the Compliance team including owning the Compliance new joiner and leaver process, managing access to Compliance systems, the  identification and management of employee issues with respect to accessing Compliance systems, the review, approval and management of employee brokerage trading accounts and the connection of these accounts to broker feeds,  and management of the Compliance Connected page. Fundamental to this role is the ability to provide clear, concise advice and guidance to stakeholders.

Primary Responsibilities

Your key responsibilities include, but are not limited to:

Central Compliance 

• Assist the Compliance Associate Director with the management of the activities of the Central Compliance team

• Take ownership of the Compliance new Joiner and leaver process including the management of automatic creation of employee profiles our HR system workday

• Liaising with employees and brokers to add employee accounts to broker feeds

• Take ownership of obtaining hardcopy broker statements where required.

• Take ownership of the broker statements mailbox and manage all work activities that come through that mailbox.

• Assist with employee personal Conflicts of Interest including Personal Account Dealing, Outside Business Interests, Gifts & Entertainment and Directorships queries

• An interest in developing their knowledge of Compliance and progressing with the various activities that the Central Compliance team undertake.

Team Management

• Take ownership of chasing employees for completion of their training and compliance attestations.

• Development of MI across the London Compliance function

• Management of Compliance specific tasks and tracking these to completion.

Advisory Compliance

• Able to provide advice and guidance to strategies and individuals across ICG with respect to Compliance Policies

Key Requirements/ Qualifications

You will have demonstrable experience of: 

• Experience working in an Investment / Wholesale Bank, PE & Asset Managers with €1bn + AUM or Leveraged Finance organisation.

• 2+ years compliance experience. Control Room experience preferred.

• Degree in Law, Finance, Accounting, Economics, Business Admin or suitable relevant experience in lieu of qualifications

• Exceptional attention to detail

• Strong communication skills

• Excellent team player / relationship builder

• Ability to work in a high paced and constantly evolving environment

• Well organised with the ability to juggle competing workloads

• Resilient and motivated to succeed

• Reliable, trustworthy and respected

• Ability to work across multiple cultures

Our Global Benefits Framework is centred around these 3 key attributes:  

• Wellbeing - Supporting your mental, physical and financial wellbeing as well as your lifestyle needs. 

• Inclusivity – Fit for purpose and competitive, no matter who or where you are. 

• Longevity – Long Term and sustainable in design. 

Inclusion is one of ICG’s key values and we are committed to creating an equitable and inclusive workplace for everyone. By welcoming different perspectives, we strengthen ICG’s performance, enrich decision-making and contribute to better outcomes for our clients, colleagues, and the markets we serve. Accordingly, our recruitment processes provide equal employment opportunities to all applicants and employees, regardless of age, ethnicity, disability, sex, gender, sexual orientation, religion, or any other characteristic protected by local law.

We are equally committed to delivering an inclusive and accessible candidate experience. If you require information in an alternative format, additional time for assessments, an adjusted interview schedule, or any other support during the recruitment process, please let us know.