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Company Description

Optima Partners Compliance Advisory is a global regulatory compliance advisory firm with locations in New York, Chicago, San Francisco, Miami, London, and Hong Kong. We provide regulatory compliance services to hedge fund and private equity fund managers, broker/dealers, and investment banks. Our team consists of industry experts, ex-regulators, and former lawyers who have deep industry knowledge and strong relationships with regulators.

 

Role Description

This is a full-time hybrid role for a Compliance Analyst located in London. The Compliance Analyst will be responsible for ensuring that our clients comply with regulatory requirements and guidelines, conducting monitoring and tearing, analyzing data, and communicating with clients and regulatory bodies. Hybrid role, in office and working from home.

 

Responsibilities

  • Registering clients as regulated entities with the Financial Conduct Authority ("FCA") in the UK
  • Developing and implementing compliance policies and procedures
  • Preparing and maintaining employee certifications on behalf of clients in accordance with the FCA's Senior Management Certification Regimes ("SMCR")
  • Monitoring employee personal trading activities and electronic communications on behalf of clients
  • Monitoring expert network calls on behalf of clients
  • Performing periodic compliance monitoring testing across specific FCA regulatory conduct of business requirements and regulatory themes, such as personal trading, political contributions, gifts and entertainment, outside business interest, and other conflicts of interests, as part of client’s compliance monitoring program
  • Assisting in annual compliance reviews and mock regulatory thematic reviews and investigations
  • Assisting in providing regulatory review support

 

Requirements

  • University degree
  • The successful candidate must, by the start of their employment, have permission to work in the UK
  • Strong attention to detail
  • Knowledge of financial regulations
  • Excellent written and verbal communication skills
  • Independent, self–starter, as well as collaborative problem solver
  • Strong analytical and research skills
  • Ability to multi-task and prioritise across a range of projects with constantly shifting priorities in a team environment
  • Ability to master new tasks quickly

 

Benefits

  • £30,000 starting salary
  • Private Health Care
  • 25 days annual leave + bank holidays
  • CISI Diploma fully funded by Optima (with the exception of re-sit costs)

 

Optima Partners is committed to providing equal opportunities in employment. We will not discriminate between applications for reason of gender, gender identity, race, religion, colour, nationality, ethnic origin, sexual orientation, marital status, veteran status age or disability.