Legal & Compliance Analyst

Resource Solutions - GSC
15 Aug 2019
12 Sep 2019
Contract Type
Full Time


Legal & Compliance Analyst

Initial 12 months

City of London

Key Result Areas

Assist the IM Legal and Compliance Manager with the following:


  • Completion of the annual compliance monitoring plan that includes monitoring compliance with investment guidelines and laws and regulations applicable to investment firms and investment funds;
  • Review and analyse financial services providers' Know Your Client (KYC) requirements and ensure that MS Amlin meets such requirements;
  • Undertake relevant Due Diligence & KYC
  • Review and approve/decline Personal Account Dealings (PAD) requests;
  • Anti-Bribery and Corruption confirmation requests to Associated Persons;
  • Complete Trade Repository account change documentation, as and when required;
  • Assist with advice on IM regulation (except the matters on which monitoring has been undertaken).


  • Account Opening, Closing & Maintenance
  • Open/close/transfer bank accounts, Money Market Funds, Fund Manager and Custodian accounts
  • Board approval: draft Board Papers and obtain Board Resolutions where required;
  • Know Your Client (KYC): provide KYC documentation as required by the banks/fund managers, both on MS Amlin entities and staff;
  • Provide up to date ID's and proof of address details, making sure they are certified by a Director/Co Sec;
  • Signatory lists: provide appropriate Authorised Signatory Lists (ASL) to banks/fund managers, as amended from time to time;
  • Bank Mandates/Application forms: complete for all entities and make sure that the terms are acceptable;
  • Account names: update as and when required.
  • Review and analyse financial services providers' KYC requirements and ensure that the bank meets such requirements - make sure that KYC packs are up to date with the correct documentation and information, including but not limited to: Articles of Association, Memorandum of Association, Certificate of Incorporation & Latest Annual Report/Financial Statements.
  • Proactively maintain all ASL associated with these accounts with any removals/additions or names changes - draft letters, and ensure that confirmations are received and appropriately saved.

Key Competencies

Job specific

  • Good knowledge of investment management regulations (UK and European )
  • Experience in compliance monitoring exercises highly desirable
  • Good knowledge of corporate governance issues (eg delegation of authority)
  • Good knowledge of contract law (eg novation agreements)
    • Demonstrates a good understanding of IM legal documentation and possible conflicts
  • Understands the risks associated with their role
  • Basic knowledge of investments law (eg fund structures, structure of regulation)
  • Able to liaise with staff at all levels
  • Good drafting skills
  • Excellent attention to detail
  • Ideally a paralegal qualification

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