Funds Compliance Analyst

The Ocean Partnership Limited
London (Greater)
Up to £50,000 basic + package
07 Nov 2017
15 Nov 2017
Contract Type
Full Time

Ocean has been engaged by a well-established boutique Fund Manager who is seeking to hire a Fund Compliance Analyst who will report in to and work closely with, the Head of Legal and Compliance and be responsible for assisting the day to day management of the firm's Compliance function.

Our client values diversity in the workplace and welcomes applications from everyone. If you have a disability and need help with the application process please tell us.

Key remits:

  • Assisting in the delivery of the firms Compliance Monitoring function
  • Performing Trade Surveillance to ensure compliance with MAR and Best Execution regulations
  • Maintaining Compliance books and records ? e.g. Gifts and Entertainment
  • Providing ad hoc Compliance advice
  • Assisting with AML checks
  • Keeping up to date with regulatory rules and changes
  • Ad hoc Compliance assistance on a variety of projects/matters


  • Solid Compliance experience gained within the Asset Management sector
  • Trade Surveillance experience with excellent knowledge of MAR
  • Excellent knowledge of FCA and EU regulations governing the Asset Management space
  • Excellent Stakeholder management skills
  • Excellent written and verbal communication skills

Ocean is a recruitment and inclusion consultancy dedicated to the investments industry. Our mission is to lead the recruitment of diverse talent and champion the adoption of more inclusive working cultures to help the industry innovate.

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