Compliance Analyst


Latest Job



  • / London, UK
  • / Permanent
  • / Competitive Salary
REF: CB10823

Compliance Analyst

Are you passionate about ensuring investment strategies comply with regulatory and contractual requirements? Do you thrive in a dynamic trading desk environment? We are seeking a skilled Investment Compliance Analyst to join our Client’s Portfolio Risk team, responsible for implementing and monitoring investment restrictions across the business.


  • Analyse real-time risk/compliance alerts to ensure consistency with investment mandates and collaborate with traders and portfolio managers to resolve exceptions.
  • Manage pre-trade risk/compliance alerts and work with technology and front office teams to maintain a robust pre-trade risk framework.
  • Review investment restrictions for new mandates prior to finalization.
  • Implement mandate and regulatory limits in the risk system, developing new reporting analytics as needed.
  • Investigate potential breaches of investment restrictions and maintain the central breach log.
  • Collaborate with Product Legal and structuring teams to specify necessary amendments to prospectuses or other documents.
  • Work with Technology to specify system enhancements required for new monitoring and analysis aligned with strategy requirements.

Skills/Experience Required:

  • Undergraduate or Master’s Degree in a subject with an analytical component.
  • 3-5 years of experience in a similar role within another asset management firm.
  • Ability to conceptualize and perform calculations related to a portfolio of investments and derivatives.
  • Working knowledge of investment strategies used in portfolio management, including derivatives and short positions.
  • Experience reviewing investment guidelines, Offering Memorandums, and Investment Management Agreements.
  • Experience monitoring portfolio investment requirements associated with UCITS, 3(c)(7) funds, and US mutual funds.
  • Detail-oriented with strong research and analytical skills.
  • Ability to work effectively in a trading desk environment.
  • Moderate programming skills, preferably in Excel/VBA, SQL, and Python.

Join our client’s team and contribute to the integrity and efficiency of our investment processes, ensuring that our portfolios adhere to regulatory and contractual standards. Apply today to make a meaningful impact in a collaborative and fast-paced environment.

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If you're excited about a role but don't perfectly align with every requirement, we encourage you to apply. Your unique skills and experiences may be the perfect fit for the job or other opportunities that arise.

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