Analyst, Compliance

Role Relationships

The Compliance Analyst will work closely with:

• Members of the wider Compliance team, including the Luxembourg Compliance team.
• Members of the business more generally.

• Compliance Monitoring Programme Support
  • Assist in the execution of the Compliance Monitoring Programme, including gathering data, preparing checklists, and supporting the team in monitoring activities.
  • Help maintain and update monitoring logs and follow up on outstanding actions.
• Code of Ethics Support
  • Supporting pre-clearance and self-reporting processes using the Comply Sci platform, reviewing and escalating breaches, ensuring timely and accurate documentation of business rationales, and maintaining a robust audit trail.
  • Supporting staff with direct broker feeds, allowing real-time monitoring of employee trading activity.
• Breaches and Errors Support
  • Track compliance breaches and errors as reported by the business.
  • Assist in the investigation process by gathering information and preparing initial summaries for review by senior team members.
  • Support the follow closure of breaches, ensuring all documentation is filed appropriately.
• General Compliance Assistance
  • Help prepare materials for internal meetings and regulatory submissions.
  • Act as the first point of contact for the Compliance team’s shared inbox, triaging queries and escalating to the appropriate team member.
  • Ensure timely and accurate responses to routine compliance queries.
• Anti-Money Laundering (AML)
  • Support the AML Compliance team with ad hoc tasks as required.

• Support the implementation and updating of compliance policies and procedures as directed.
• Support the production of Compliance reports.
• Assist with the preparation and delivery of compliance training materials.
• Help coordinate responses to internal and external audit requests.

• Act with integrity.
• Act with due care, skill, and diligence.
• Open and cooperative with the regulators.
• Pay due regard to the interests of customers and treat them fairly.
• Observe proper standards of market conduct.
• Ensure all Compliance activity takes into consideration ESG factors to maximise corporate sustainability and support the firm’s diversity and inclusion objectives.

• Ideally, 1-2 years’ exposure to compliance or financial services (e.g., through an internship, placement, or up to 1 year in a similar role), but strong motivation and willingness to learn are highly valued.
• Relevant compliance, AML, or financial services training or certifications (even if basic or in progress) are advantageous but not mandatory.
• Fluent in English and able to communicate effectively in a Global organisation.
• Strong IT skills, particularly with Microsoft Office (Excel, Word, Outlook) and document management systems such as SharePoint.

• Strong organisational skills and attention to detail.
• Ability to prioritise tasks and manage multiple responsibilities.
• Good communication skills, both written and verbal.
• Willingness to learn and develop compliance knowledge.
• Collaborative, proactive, and able to work effectively as part of a team.

• Builds trust and credibility.
• Is polite, respectful, collaborative, with a strong service ethic.
• Plans and prioritises effectively but is flexible and can work with complexity and ambiguity.
• Identifies key issues and provide optimal, evidence-based solutions.
• Is determined and resilient.
• Brings innovative and transformational thinking.
• Demonstrates a risk and compliance mindset.

The duties and responsibilities described here are not exhaustive; additional assignments may be required. Duties and responsibilities may be changed at any time, with or without notice, at Pemberton’s sole discretion.

Pemberton is committed to providing equal employment opportunities to all employees and applicants for employment without regard to race, colour, religion or belief, sex, gender, gender identity or expression, sexual orientation, age, disability, national origin, ancestry, citizenship status, marital or civil partnership status, pregnancy or maternity, veteran or military status, genetic information, or…