Analyst, Compliance

# LI-DNI

Role Overview:This role is based in LaSalles London office. LaSalles London office is authorised as a MiFID Investment Firm by the FCA. The successful candidate will join LaSalles Compliance Function having responsibility for maintaining the compliance and AML framework assessing standards of compliance and providing compliance advice to LaSalles London office.

This is generalist role the job holder will assist the Chief Compliance Officer UK with their daily tasks and under their supervision work on the compliance monitoring programme AML and sanctions checks management of compliance systems and assist in maintenance of the compliance framework. Compliance in this context is not limited to FCA rules but also extends to internal policies and procedures and wider issues including for example anti-bribery data protection etc.

This is a busy and business facing role requiring a degree of autonomy within a successful and dynamic investment management business. The job holder will need to have excellent organization skills in order to efficiently manage competing priorities. The successful candidate will be required to work on multiple projects at the same time and be able to swiftly switch their attention between the tasks. This is an exciting opportunity for someone who would like to learn more about compliance real estate and financial regulation.

The role of LaSalles Legal & Compliance team

LaSalle broadly applies a three lines of defence approach to its corporate governance arrangements and whilst this role is central to the functioning and management of LaSalles second line the successful candidate will from time to time also work directly on certain matters that might be more typically categorised as first line matters (assisting with challenging AML matters digitalization projects service provider due diligence assessment and drafting policies and investor/fund on-boarding matters). As such the successful candidate will be expected to quickly identify and action risk-based practical solutions that facilitate efficient resolution of competing issues while supporting the broader LaSalle business and its objectives (this will need to be achieved without exposing the business and our clients to unnecessary compliance and regulatory risk). The candidate will be expected to exercise a good balance of commercial and regulatory judgement in this regard.

A key objective of the Legal & Compliance team is to work in partnership with the business teams and senior management in each LaSalle office and the broader LaSalle platform to implement compliance policies in a manner that is proportionate consistent and adaptive to the needs of the business whilst mitigating material risks that arise in connection with compliance driven matters.

Team Overview:

The successful candidate will report to the Chief Compliance Officer UK and work closely with other members of the European Legal & Compliance team of over 20 professionals based in London Luxembourg Munich and Paris.

Key Responsibilities:

Without limiting the generality of the above the scope of the role is broken into several key areas:

Compliance monitoring

• Undertake the compliance monitoring programme report on findings make recommendations and ensure they are successfully implemented.
• Assist in continuous development of LaSalles compliance monitoring programme leveraging the use of technology and analytics.
• Maintain the compliance monitoring programme on ACA Alpha compliance system.

KYC and sanctions

• Conduct KYC and sanctions screening on clients deal counterparties and tenants.
• Coordinate and conduct initial and periodic AML checks on clients and deal counterparties.
• Draft reports to the Board and the Global AML Committee on AML issues.

SMCR

• Maintain the register of Certified Persons.
• Administer and oversee the annual certification process.
• Oversee the prompt and proper creation and maintenance of key SMCR documentation.

Compliance Framework

• Assist with the implementation of new FCA rules & UK regulatory requirements.
• Assist in drafting the FCA returns.
• Assist in drafting the periodic reports to the Board.
• Maintain key documents policies and procedures databases and registers.

Advice and Training

• Provide advice on LaSalles policies and procedures to colleagues from investment management asset management and other departments.
• Respond to questions relating to compliance systems and assist in resolution of technical queries.
• Assist in development and delivery of compliance training.

Other

• Contribute to the work of the wider European Compliance and Risk Team.
• Administer ACA Alpha and on behalf of the UK Compliance Function.
• Assist with research into regulatory and compliance issues.
• Assist the Chief Compliance Officer UK and Chief Compliance Officer Europe with regulatory projects.
• Assist in the review of marketing materials.

Required Qualifications & Experience

• Degree in Law Finance or Risk Management.
• Basic knowledge of the FCA rules.
• 1-2 years of experience in compliance financial crime or audit role.

Competencies

• Confident self-starter.
• Excellent organizational skills.
• Able to self-manage prioritise and work efficiently.
• Able to form good working relationships with colleagues at all levels.
• Good communicator.
• Able to competently leverage technology and AI.

LaSalle is an Equal Opportunity Employer and encourages applications from all sections of the community

US Jobs Only: This position does not provide visa sponsorship. Candidates must be authorized to work in the United States without employer sponsorship.

Location:

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