Compliance Analyst Compliance Analyst …

Coller Capital
in London, England, United Kingdom
Permanent, Full time
Last application, 30 May 20
Competitive
Coller Capital
in London, England, United Kingdom
Permanent, Full time
Last application, 30 May 20
Competitive
Work with other members of the Legal & Compliance team to: plan and deliver the group’s compliance monitoring and testing programme; conduct other reviews; deal with questions and offer assurance to individuals and functions across the firm. Contribute to the development, maintenance and administration of the group’s overall compliance framework Liaise and work with the firm’s compliance consultants and technology service providers
  • Implement compliance monitoring and testing plans for group companies, ensuring that appropriate
    review procedures are followed, and producing detailed reports with clear findings and recommendations
  • Contribute to the continuing development, preparation and maintenance of the group’s compliance and
    AML/financial crime policies and procedures, as well as related training programmes
  • Assist with the timely preparation and submission of reports and other filings by group companies to
    relevant regulatory agencies and bodies, or otherwise in accordance with applicable regulatory
    requirements
  • Liaise and consult with external compliance consultants, both in respect of advisory services (e.g. special
    reviews) and technology services (on-line compliance platform/tools).
  • Respond to regulatory, compliance and AML/financial crime related questions and requests from the firm’s
    investment team, key stakeholders and other departments
  • Assist the Senior Compliance Officer and Head of Legal & Compliance in providing regulatory, compliance
    and AML/financial crime updates and reports to senior management and governing bodies of group
    companies, both periodically and on a one-off basis
  • Monitor relevant legislation, regulations, rules and guidance, assessing the potential impact of any new
    developments on the firm’s business activities, systems and control arrangements, and making
    recommendations for necessary changes

 

Essential
• Approximately two years’ relevant work experience in financial institutions (ideally within     

  an investment bank and/or fund management or advisory business), including a     

  combination of compliance and AML/financial crime matters
• Broad general knowledge of relevant legislation, regulation, rules and guidance impacting

  on the alternative/private funds industry, as well as the current regulatory environment and

   agenda
• Familiarity with systems and control arrangements and operational best practices within

   financial institutions, with a particular focus on compliance and AML/financial crime

   matters

 

Desirable
• Work experience ideally should include at least one year as a compliance associate (or

  equivalent) within the alternative asset management sector (private equity, real estate/

  infrastructure, or hedge funds)

• Exposure to and/or dealings with regulators, especially FCA (UK) and SEC (US)
• Familiarity with cross-jurisdictional situations and issues
• Formal training as an accountant or paralegal

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