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Compliance Analyst - Private Equity

Employer
CLARC Recruitment Limited UK & Ireland
Location
UK
Salary
Competitive
Closing date
19 Jul 2022

View more

Sector
Legal
Contract Type
Permanent
Hours
Full Time
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We are exclusively recruiting for a financial services placement agent looking for a Compliance Analyst to join their business in a newly created role working closely with the General Counsel & Chief Compliance Officer. The role will predominantly be Compliance focused with some Legal elements as part of the duties including, but not limited to, reviewing NDA's and some Company Secretarial work.

Main Responsibilities:

  • Primary responsibility for implementation of the Financial Crime program including AML identification and verification of Clients and Customers, sanctions screening and risk scoring.
  • Maintenance of Compliance Registers including Personal Account Dealing, Restricted Lists, Outside Business Activities, Private Securities Transactions, Licences/Qualifications & Training.
  • Compliance Approvals for marketing materials.
  • Assistance with regulatory filings (UK, Europe & US regulators)
  • Assistance with licence applications and notifications (corporate and individual)
  • Scheduling and agenda setting of quarterly Compliance Committee meetings
  • Periodic compliance monitoring.
  • Updating compliance manuals and procedures.
  • Compliance Training (including induction training and ad hoc compliance sessions)
  • Review of NDAs and other legal documentation
  • Assistance with company secretarial activities including scheduling Board meetings


Job Requirements:

  • Minimum 3 years Compliance experience, ideally within a buy side focused business.
  • Law degree, minimum 2.1.
  • Dynamic, entrepreneurial mindset.
  • Ability to work independently with minimal direction.
  • Strong communication skills both spoken and written.


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