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Compliance Analyst

Carnegie Consulting LTD
Closing date
18 Apr 2021

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Contract Type
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Job Details

Responsibilities shall include but not be limited to

Co-ordinating the AML training process, i.e. enrolling new joiners, chasing course completion, ensuring personnel due a refresher are enrolled; maintaining internal spreadsheet.
  • Directorships Overview: updating and maintaining spreadsheet and ensuring changes are reflected.
  • Assisting with annual review of the Compliance Manual, updating for Compliance Officer and lawyer amendments.
  • Assisting with Annual Compliance Review.
  • Assisting with UK and US insurance renewals, including annual D&O renewal.
  • Populating investor information into new AML/KYC monitoring platform (to be acquired).
  • Assisting with implementation of SMCR and other regulatory requirements.
  • Sending weekly Restricted Securities emails to investment team, and providing Compliance Officer with updated Master List at end each week.
  • Maintaining Compliance-related registers, including Gifts and Entertainment register, NDA Register, Outside Interests register.
  • Assisting with Companies House filings, e.g. Confirmation Statements, Annual Accounts, change of directors.
  • Arranging bi-annual Risk Management Committee meetings.
  • Filing: backlog of investor data to be scanned and filed.
  • Other departmental ad hoc projects and tasks, e.g. LCA company presentation, Employment Handbook review.

The Candidate
  • At least 1 year compliance experience within a compliance role in Private Equity, Hedge Fund or small Investment Management firm or linked consultancy Or - at least 1 year compliance experience within a different financial services firm as long as you also have at least a 2.1 bachelor's degree in a relevant subject or in law.
  • A can do flexible attitude with the willingness to work hard.
  • An ability to write a 2 page CV answering the bullet points in the job description
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