Trainee Compliance Analyst

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  • Salary:

    £28,000 - £32,000 + benefits

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  • Published:

    over 2 years ago

My client is a very prestigious organisation and a leader in its chosen field.

They are looking to recruit an individual to assist with the analysis of regulatory compliance issues and proposals, provide support with technical compliance reviews and investigatory work and produce management information in both detailed and abridged format to assist the Compliance officer.

The role-


  • To assist with technical compliance implementation including: analysis of areas within the business, regulatory themes and regulatory change from concept to implementation within Group subsidiary businesses in all locations as directed.
  • To assist the CCO with the SEC offering. To conduct the SEC monitoring and to distribute/ collate the cyclical memorandums and client mailings.
  • To assist the technical team on Group projects and Committees as and when required.
  • To develop and deliver training courses to all UK or wider Group employees on compliance related matters.
  • To ensure work is completed to a high standard of delivery and accuracy, including the maintenance of supporting records and audit trails.
  • To contribute towards the delivery of a positive compliance culture within the team and wider Group

Key Requirements:       

  • Excellent verbal communication skills.
  • Some general Compliance experience within the Investment Management industry
  • Good industry knowledge - UK, Europe (minimum), US and wider preferable
  • Ability to review and analyse legislative papers and consider how they are applicable to the firm
  • Ability to investigate
  • Ability to assist on Committees and project work across the business

Salary is entirely commensurate with experience.