DEPARTMENTAL OVERVIEW
The Compliance Team provides regulatory support to the Brevan Howard Group across all business activities, including advisory services, internal monitoring, and regulatory training.
The primary objectives of the Brevan Howard Compliance function are to ensure adherence to applicable laws and regulations, protect investors, safeguard the firm’s reputation, and maintain an effective partnership with the business. Brevan Howard is committed to fostering a strong compliance culture to support these objectives.
RESPONSIBILITIES OF THE ROLE:
Key responsibilities of the Compliance Analyst will include:
- Maintain and update compliance registers (e.g., PAD, OBI, e-learning, etc.)
- Coordinate annual compliance declarations and follow up with staff
- Perform AML/CTF due diligence and sanctions screening, including investigation of alerts and potential matches
- Support employee onboarding from a compliance perspective
- Assist with pre-approval processes for counterparties, investors, and research onboarding
- Support the Compliance Monitoring Programme, ensuring controls operate effectively
- Conduct cyclical monitoring of regulatory disclosures (e.g., long/short positions, auctions, e-comms)
- Maintain compliance systems and documentation in line with regulatory and business requirements
- Support ad-hoc compliance projects as required
Personal Specification
WORK EXPERIENCE/BACKGROUND:
Essential
- University degree (2:1 minimum)
- 2-3 years’ experience to Compliance in fund/ asset management firms.
Desirable
- A recognised regulatory professional qualification.
- Previous experience working within a regulated organisation
TECHNICAL/BUSINESS SKILLS & KNOWLEDGE
Essential
- Strong IT Skills
- Intermediate Excel
Desirable
OTHER REQUIREMENTS
- Strong attention to detail
- Good written and verbal communication skills
- Professional, articulate, and personable
- Proactive, self-starter, and team player
