Compliance Associate

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

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• Manage regulatory reporting and disclosures, including short and long position reporting and MiFIR transaction reporting.
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• Process market soundings, early-look meeting requests and Regulation M reviews.
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• Maintain and administer restricted lists and related trading controls.
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• Conduct compliance monitoring activities across communications, trading activity and best execution.
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• Support Fitness & Propriety reviews under the FCA Certification Regime.
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• Review and document trading errors and related remediation actions.
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• Perform vendor due diligence reviews.
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• Provide regulatory and policy guidance to front-office and business stakeholders.
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• Assist in the delivery of compliance training programmes.
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• Contribute to compliance monitoring reviews and ad hoc regulatory projects.
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• Partner with technology, operations and IT teams on daily compliance processes and controls.
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• Monitor domestic and international regulatory developments and assess potential business impact.
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Essential Experience

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• 4–8 years' compliance, regulatory or financial crime experience gained within an asset manager, investment bank, hedge fund or other regulated financial services environment.
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• Experience supporting trading or investment teams in a compliance advisory capacity.
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• Strong understanding of financial markets regulation and compliance controls.
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• Undergraduate degree or equivalent qualification.
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Highly Desirable

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• Experience with UK and European short position disclosure regimes.
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• Exposure to MiFIR transaction reporting requirements.
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• Familiarity with trade surveillance, monitoring and front-office advisory work.
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Personal Attributes

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• Strong analytical and problem-solving skills.
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• Exceptional attention to detail.
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• Excellent written and verbal communication abilities.
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• Confident interacting with front-office professionals and senior stakeholders.
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• Self-motivated with the ability to manage competing priorities.
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• Strong organisational and teamwork skills combined with the ability to work independently.
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What's on Offer

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• Competitive base salary.
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• Discretionary bonus.
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• Comprehensive benefits package.
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• Hybrid working model with flexibility.
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• Significant exposure to senior stakeholders and investment professionals.
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• A collaborative and high-performing team environment with strong opportunities for long-term career development.
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