MAIN DUTIES/RESPONSIBILITIES OF THE ROLE:
The Compliance Team provides regulatory support for the Brevan Howard Group across all of its activities including advisory services, internal monitoring, and regulatory training. The position will report to the Head of Compliance in London.
Key responsibilities of the Compliance Analyst will include:
- Cyclical monitoring and reporting of global regulatory disclosures including long/short/auctions/e-comms/pos limits etc;
- Conduct compliance monitoring (including trade surveillance, communications and personal account dealing) in line with evolving requirements of the Brevan Howard business;
- Responsible for compliance registers (e.g. PAD, OBI, G&E, FCA, e-learning, etc.)
- Assist with staff onboarding/SMCR requirements.
- Undertake due diligence AML/CTF checks and sanctions screening and forensically investigate flags and potential matches;
- Assist with pre-approval of Counterparties, Investors and Research onboarding;
- Maintain the Compliance Monitoring Programme to ensure that it is effective in managing operational and regulatory risks;
- Build relationships with other risk and compliance officers around the group to build and enhance the global compliance control framework;
- Assist in providing compliance and regulatory training to employees;
- Co-ordinate annual declarations and liaise with staff accordingly;
- Ad-hoc projects and where necessary.
PERSON SPECIFICATION
WORK EXPERIENCE/TECHNICAL BACKGROUND:
Essential
Desirable
WORK EXPERIENCE/BACKGROUND:
University degree (2:1 minimum)
2-4+ years’ experience to Compliance in fund/ asset management firms.
A recognised regulatory professional qualification.
Previous experience working within a regulated organization
Trade surveillance experience a bonus
TECHNICAL/BUSINESS SKILLS & KNOWLEDGE:
Strong IT Skills, intermediate Excel
Advanced Excel Bloomberg
OTHER REQUIREMENTS:
Attention to detail
Strong communication skills (written, spoken and analytical) Professional, articulate, presentable, and personable Proactive, self-starter & team player
