Regulatory Analyst

Investment Management Partners
Mar 11, 2019
Mar 13, 2019
Job Function
Industry Sector
Finance - General
Employment Type
Full Time

The role is ideal for an ambitious indivual with 1-3 years relevant experience looking for a broad role. On offer is the opportunity to join one of the most respected firms in the industry, a generous bonus/base package and excellent career development options. 

The successful candidate will be joining a dynamic international team, which focuses on obtaining and providing accurate information to internal and external stakeholders. There will be ample opportunity to initiate and manage projects, including working with developers to ensure the necessary tools are available to manage risk and improve efficiency in the regulatory reporting space.

This is an extremely broad positon. Key areas of responsibility of the successful candidate include, but are not limited to, the following:

  • Leading the production of regulatory reporting deliverables that are distributed to clients and/or regulatory bodies, across multiple jurisdictions (UK, Bermuda, South Africa, Luxembourg, US and Australia).
  • Producing accurate and timely client marketing documentation such as KIIDs and Minimum Disclosure Documents.
  • Producing, validating and distributing monthly regulatory reporting directly to external clients such as MiFID costings, tax and audit statements.
  • Validating data received from our Transfer Agent required for regulatory submissions.
  • Assisting with the annual “Know Your Client” review to assess account compliance and where necessary formulate and execute client communications.
  • Perform comprehensive due diligence reviews of UK platforms and external service providers on an annual basis.
  • Annual UK tax report filings involving data aggregation and testing for the submission.
  • Monthly Client Money and Assets Report compilation.
  • Working with teams internally to understand our regulatory requirements across the multiple jurisdictions, assessing our offerings and suggesting changes, where appropriate, to ensure that we are continuing to meet reporting requirements in an accurate and timely manner.
  • Initiating and taking the lead on small and large-scale projects aimed at addressing upcoming regulatory changes.
  • Providing timely and accurate fund-related information to internal and external stakeholders.
  • Liaising with and responding to regulatory queries from clients, funds' custodians and regulatory bodies.
  • Working with IT developers to ensure that the necessary tools are available to manage risk and improve efficiency and scalability



  • Excellent academic record and a proven track record of success
  • Financial qualifications (IMC, CFA, ACA) a welcome plus - but not essential  
  • Knowledge of the regulatory environment, securities industry and market practices would be an asset.
  • Curious about global financial markets and regulatory regimes across multiple jurisdictions.
  • Committed to accuracy and quality.
  • Focused on detail while able to synthesise data and make deductive decisions.
  • Strong quantitative, analytical and problem solving skills.
  • Excellent written and oral communication skills.
  • Team player with strong interpersonal skills.


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