Compliance Analyst, Finance & Banking

We are a global investment management business with a diversified platform spanning public and private markets. The firm serves institutional and professional investors worldwide through a range of investment solutions across fixed income, equities, alternative investments, and sustainable investment strategies. With teams located across key international financial centres, we combine specialist market expertise with a collaborative and entrepreneurial culture. Our continued growth has created an opportunity for a Compliance Analyst to join our London-based Compliance function.

This role offers exposure to a broad range of compliance activities within a fast‑paced investment management environment. Working alongside colleagues across multiple jurisdictions, the successful candidate will support regulatory compliance, monitoring, surveillance, and governance activities while contributing to the ongoing enhancement of the firm's compliance framework.

• Provide support for day-to-day compliance administration, including employee onboarding and departure processes, maintenance of compliance records, registers, and internal reporting logs.
• Assist with the monitoring of investment restrictions and portfolio guidelines across a range of investment vehicles and mandates, including the investigation and escalation of potential breaches.
• Support the preparation of regulatory, client, and internal compliance reports.
• Administer employee personal trading controls, including trade pre‑clearance reviews, record maintenance, and periodic reconciliations.
• Conduct reviews of electronic communications to help identify potential regulatory or conduct‑related concerns.
• Assist in the monitoring of trading activity and surveillance alerts designed to mitigate market conduct and market abuse risks.
• Support information barrier and insider information management processes, including related documentation and approvals.
• Contribute to the firm's Compliance Monitoring Programme through thematic and risk‑based reviews across key regulatory areas.
• Maintain monitoring schedules, action logs, and remediation trackers to ensure issues are appropriately documented and followed through to completion.
• Assist with due diligence and financial crime compliance requirements relating to vendors, counter parties, and other third‑party relationships.
• Review and update compliance policies, procedures, and internal guidance documents to ensure they remain aligned with regulatory expectations and business practices.
• Work collaboratively with teams across Risk, Operations, Legal, Finance, and Investment functions on compliance‑related matters.

• University degree or equivalent qualification in Law, Business, Economics, Finance, or a related discipline.
• Approximately 2–4 years of compliance experience gained within asset management, investment management, wealth management, or a related financial services environment.
• Working knowledge of regulatory requirements relevant to investment firms and asset managers.
• Familiarity with European and UK regulatory frameworks is desirable; exposure to other international regulatory regimes would be beneficial.
• Strong organisational skills with excellent attention to detail.
• Effective verbal and written communication skills.
• Ability to build positive working relationships across multiple teams and levels of seniority.
• Analytical mindset with the confidence to investigate issues and challenge where appropriate.
• Self‑motivated, proactive, and capable of managing multiple priorities in a dynamic environment.
• Comfortable working independently while also contributing to a collaborative team culture.
• Strong Microsoft Office skills, particularly Excel, Word, and PowerPoint.
• Experience with compliance monitoring, surveillance, or employee trading systems would be advantageous.

• Exposure to a broad range of compliance and regulatory matters within a global investment management business.
• A collaborative and supportive team environment.
• Opportunities for professional development and career progression.
• Competitive compensation and benefits.