Generalist Compliance Analyst

Maldon Partners are recruiting a Generalist Compliance Analyst on a permanent basis for a global Wealth and Investment Management Firm.

The firm specialises in working with HNW and UHNW individuals and families, charities and institutions.

The company currently has c350 employees and a £25bn AUM with plans to massively grow this over the next few years having recently acquired another leading competitor.

Hybrid working 3-4 days in the office.

The Role:

The Generalist Compliance role is designed to develop mid-level compliance skills while contributing to the firm’s adherence to UK, US and EU regulatory requirements.

Responsibilities will include but not be limited to:

• Best Execution and Market Abuse monitoring
• Review marketing material
• Conduct routine monitoring
• PA dealing, COI and Gift and entertainment recording and sign off
• Interpret and apply compliance regulations
• Support the completion of due diligence questionnaires
• Maintain and Update Policies and procedures
• Review portfolio and fund restrictions
• Liase with UK and EU colleagues acting as the conduit between the uk and Spanish office
• Training
• Support regulatory reporting (FCA RegData and SEC FINRA)
• Undertake any ad hoc compliance projects in regard to new regulations
• Support ongoing assessment on SMCR

Experienced Required:

• A strong understanding of the UK wealth and asset management industry
• Minimum of 3years compliance experience gained with the Wealth and Asset Management industry.
• Good understanding of FCA and SEC regulations
• Understanding of fund management rules (UK and Irish Investment Funds)
• Excellent verbal and written communication skills
• Competently manage own workload and priorities.
• Be self-motivated and proactive within day-to-day responsibilities.
• Strong IT/MI production skills

Salary:

The Generalist Compliance role has a base salary of c£65,000 - £70,000 depending on experience plus excellent benefits and bonus package.

Hybrid working 3-4 days in the office is also on offer!

*Please note only candidates who meet the above criteria will be contacted