Compliance Analyst, Finance & Banking

We are recruiting on behalf of a premier investment management firm for a PAD (Personal Account Dealing) Compliance Analyst to join their Core Compliance team in London.

Start: 16 March 2025

Duration: 3 month contract (extension possible)

Location: Central London (full-time office attendance required)

Capacity: Full-time (5 days per week)

Engagement: Inside IR35 (umbrella company required)

You will support the Core Compliance team in managing PAD processes and backlogs, working closely with traders, senior portfolio managers across EMEA, and an offshore support team.

• PAD onboarding & due diligence: reviewing new joiners' personal brokerage/investment accounts, assessing documentation, and determining account status in line with regulatory requirements
• Surveillance & monitoring: conducting ongoing monitoring of PAD account activity for potential insider dealing and market abuse risks; reviewing trades against pre-clearance requirements; escalating exceptions and breaches
• Stakeholder advisory: acting as day-to-day point of contact for PAD queries from traders and staff, including senior portfolio managers
• Process execution: following established procedures and decision trees to process PAD requests; escalating non-standard scenarios appropriately

• Prior experience in Personal Account Dealing, employee trading compliance, or a monitoring/control function
• Background in a regulated financial services environment (investment management, banking, brokerage or similar)
• Familiarity with insider dealing and market abuse concepts (MAR/FCA regulatory expectations)
• Confident communicator, comfortable liaising with senior trading and portfolio management staff

On-the-job training and shadowing will be provided, with responsibilities building progressively.

We would like you to be able to perform at your best throughout this recruitment process. Please contact us if you require any adjustments to support you.