Taylor Root
Compliance Associate
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Compliance Associate
Location: London (Hybrid Working)
Salary: Competitive + Bonus + Benefits
The Opportunity
A leading alternative investment management business is seeking a Compliance Associate to join its London-based compliance team. This is an excellent opportunity for a compliance professional looking to broaden their exposure across a wide range of regulatory and advisory responsibilities within a sophisticated investment management environment. Reporting into senior compliance leadership, you will play a key role in supporting both UK and global compliance activities while working closely with front-office, operations, technology and legal stakeholders.
Key Responsibilities
- Manage regulatory reporting and disclosures, including short and long position reporting and MiFIR transaction reporting.
- Process market soundings, early-look meeting requests and Regulation M reviews.
- Maintain and administer restricted lists and related trading controls.
- Conduct compliance monitoring activities across communications, trading activity and best execution.
- Support Fitness & Propriety reviews under the FCA Certification Regime.
- Review and document trading errors and related remediation actions.
- Perform vendor due diligence reviews.
- Provide regulatory and policy guidance to front-office and business stakeholders.
- Assist in the delivery of compliance training programmes.
- Contribute to compliance monitoring reviews and ad hoc regulatory projects.
- Partner with technology, operations and IT teams on daily compliance processes and controls.
- Monitor domestic and international regulatory developments and assess potential business impact.
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Essential Experience
- 4–8 years' compliance, regulatory or financial crime experience gained within an asset manager, investment bank, hedge fund or other regulated financial services environment.
- Experience supporting trading or investment teams in a compliance advisory capacity.
- Strong understanding of financial markets regulation and compliance controls.
- Undergraduate degree or equivalent qualification.
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Highly Desirable
- Experience with UK and European short position disclosure regimes.
- Exposure to MiFIR transaction reporting requirements.
- Familiarity with trade surveillance, monitoring and front-office advisory work.
Personal Attributes
- Strong analytical and problem-solving skills.
- Exceptional attention to detail.
- Excellent written and verbal communication abilities.
- Confident interacting with front-office professionals and senior stakeholders.
- Self-motivated with the ability to manage competing priorities.
- Strong organisational and teamwork skills combined with the ability to work independently.
What's on Offer
- Competitive base salary.
- Discretionary bonus.
- Comprehensive benefits package.
- Hybrid working model with flexibility.
- Significant exposure to senior stakeholders and investment professionals.
- A collaborative and high-performing team environment with strong opportunities for long-term career development.
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