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Our client, a boutique Investment Bank, specialists in cross-border transactions, offering tailored services for clients across M&A, restructuring, refinancing and capital raising have an exciting opportunity for a "Compliance Analyst". The business has successfully grown its business in the mid markets for public and private clients and made over one hundred transactions in 2018 executing across Europe, Asia and Americas.
The "Compliance Analyst", will report directly into the Head of Legal Compliance and Group CFO
The individual will be involved in KYC, anti-money laundering and conflicts of interests checks
Liaising with Group Compliance control room
Perform FCA returns
Monitor FCA announcements, new legislation
Attend Legal/Compliance seminars and feeding back information to the business
Assist with preparing training modules for employees
Providing compliance induction training for new joiners
Ensuring employees are complying with Compliance policies (e.g actively reviewing compliance with PA dealing, gifts, hospitality, and public policies etc)
Assisting with implementation of the Senior Managers & Certification Regime and ongoing compliance
Reviewing and updating the Compliance Manual as required
Supporting legal with drafting policies and procedures (e.g general data protection regulations, senior management and certification regime, AML, market abuse, anti-bribery, cyber security, T&Cs etc)
Risk assessments for legal and regulatory risks for new legislation and regulation
Drafting and advising on confidentiality agreements and client agreements
The successful individual will be career driven, corporate, and possess the ability to multi-task. The role will ideally suit someone that is starting their career in compliance from internships supporting an undergraduate/post undergraduate degree or a few years post degree experience. Flexibility is given to experience across buyside, sell side or broad financial services.
Our client appreciates that the individual may not have all the desired skills outlined in the role. The most important facets from the individual, are their willingness to learn new things, attitude, and ability to pick things up quickly. The individual needs to be willing to take ownership of projects. This aspect is seen as key facets to their career development within their business.
Please contact or on 07860690212
Internal Number: 6319981
About Carnegie Consulting
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