Compliance Analyst - Alternative Investment Manager - FTC
Regulatory Monitoring & Analysis
- Monitor regulatory developments across relevant regimes and communicate updates internally.
- Interpret regulatory notices, bulletins, and guidance materials and support implementation across business units.
- Conduct routine internal compliance audits and assessments.
- Perform monitoring of investment activities, transactions, and operational processes to ensure compliance with internal policies and external rules.
- Assist in drafting, updating, and maintaining compliance policies and procedures.
- Maintain compliance documentation, manuals, and registers.
- Prepare compliance reports for senior management and regulatory stakeholders.
- Maintain accurate and organised records of compliance reviews, decisions, approvals, and exceptions.
- Support delivery of training on compliance topics to staff.
- Serve as a point of contact for internal compliance queries.
- Investigate potential breaches, exceptions, and compliance‑related issues and support remediation actions.
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