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Mid-level, metro location and generic Senior Analyst title, but niche asset-management compliance reduces density.
Strong asset-management compliance and personal trading policy expertise required, limiting transferability across industries.
Explicit 4–6 years, mandatory asset-management personal-dealing experience and certification requirement create strict filters.
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Support and develop the Group Conduct Intelligence and Operations team focused on monitoring compliance with personal conflicts and trading policies.
Maintain comprehensive knowledge and oversee adherence to compliance and regulatory requirements including regular review and reporting of breaches to senior management and boards.
Develop reports, dashboards, and operational procedures; support regulatory and compliance processes including audits, monitoring, and key operational tasks like RCSA and BCP.
4 to 6 years of experience in financial services, with at least 3 years in personal account dealing and personal conflicts policy within an asset management firm.
Bachelor's degree in Business, Finance, or related discipline; MBA or equivalent qualification preferred.
Knowledge of FCA, SEC, SFC, and MIFID personal trading requirements.
Must hold or be willing to obtain Ethics and Compliance credentials (e.g., CCEP, CISI, ICA) within 12 to 18 months of joining.
Experienced in compliance roles within asset management firms focusing on personal conflicts and trading policy adherence.
Analytical and proficient in MS Excel (including pivot tables and macros) and MS PowerPoint for reporting and presentations to senior management.
Operates collaboratively with strong organizational skills, able to prioritize multiple tasks, maintain confidentiality, and work effectively under pressure in a regulatory compliance environment.