The Carlyle Group
Analyst, Compliance
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Position Summary
To support Carlyle's London-based Compliance team across a range of areas required for the administration of our regulatory compliance program.
The Analyst will be focused on updating and maintaining our books and records to ensure that our regulatory compliance implementation and monitoring is fully documented in accordance with our policies and procedures.
The Analyst will assist in preparing materials for board meetings, regulatory requests, internal / external audit and compliance oversight committee meetings.
The Analyst will perform day-to-day monitoring and surveillance in accordance with the monitoring plans and prepare regulatory applications as needed.
The Analyst needs to be highly organised, detail-orientated, and proficient in the use of technology, including using AI to improve efficiency.
Primary Responsibilities
- Support for the UK regulatory compliance program relating to the businesses, regulated entities, employees, and clients including:
- Assisting with updating and maintaining quarterly monitoring plans of our regulated entities;
- Maintain and update compliance registers, such as the breach registers, gifts and entertainment registers and complaints logs;
- Carry out periodic compliance checks in accordance with the monitoring plans;
- Prepare reports on compliance testing results and identification of exceptions for our Global Credit Platform;
- Assist in preparing materials and management information, as applicable, for board meetings, regulatory requests, internal / external audit and compliance oversight committee meetings;
- Administrative support on maintenance and updates of restricted lists and insider lists;
- Manage compliance calendar;
- Assist with marketing approvals;
- Produce regulatory filings and other periodic obligations, through FCA RegData and Connect;
- Liaison with staff on completion of compliance certifications and training;
- Process and maintain records of marketing material approvals and distribution;
- Process personal trading statements for employees;
- Assist with the annual reviews of staff under SMCR;
- Assist with the expert network approval process for the EMEA region;
- Maintain books and records including staff compliance-related files;
- Support ad hoc compliance projects; and
- Fulfil other duties as assigned.
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Requirements
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Education & Certificates
- Bachelor's Degree.
Professional Experience
- Minimum 2-4 years of experience in a compliance or other professional support role at a private equity fund, hedge fund or other asset management firm, investment bank or regulatory consultancy;
- Knowledge of UK regulation and/or compliance requirements desirable, including FCA rules and guidance.
Competencies & Attributes
- Strong analytical skills with excellent attention to detail;
- Very well organised;
- Highly proficient in the use of technology;
- Excellent communication skills - both written and oral; and
- Highly motivated and intelligent.
- Proficient in the use of AI and related technologies
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