London Compliance Analyst

United Kingdom

Company Description

Soros Fund Management LLC (SFM) is a global asset manager and family office founded by George Soros in 1970. With $28 billion in assets under management (AUM), SFM serves as the principal asset manager for the Open Society Foundations, one of the world’s largest charitable foundations dedicated to advancing justice, human rights, and democracy.

Distinct from other investment platforms, SFM thrives on agility, acting decisively when conviction is high and exercising patience when it’s not. With permanent capital, a select group of major clients, and an unconstrained mandate, we invest opportunistically with a long-term view. Our teams operate with autonomy, while cross-team collaboration strengthens our conviction and empowers us to capitalize on market dislocations.

At SFM, we foster an ownership mindset, encouraging professionals to challenge the status quo, innovate, and take initiative. We prioritize development, enabling team members to push beyond their roles, voice bold ideas, and contribute to our long-term success. This culture of continuous growth and constructive debate fuels innovation and drives efficiency.

Our impact is measured by both the returns we generate and the values we uphold, from environmental stewardship to social responsibility. Operating as a unified team across geographies and mandates, we remain committed to our mission, ensuring a meaningful, lasting impact.

Headquartered in New York City with offices in Greenwich, Garden City, London, and Dublin, SFM employs 200 professionals.

 

Position Overview

SFM seeks a Compliance Analyst to support its London office, SFM UK Management LLP (regulated by the Financial Conduct Authority), and its Dublin-based office.  SFM focuses on a broad range of portfolio management strategies, with the UK team specifically focused on European long/short equity, macro, and credit strategies.

This candidate will work closely with the firm’s investment professionals, members of the Legal and Compliance Department and other key stakeholders both in London and New York on a broad range of investment advisory, regulatory and compliance matters. The ideal candidate will have a specific knowledge of investment and trading activities. The role will initially require early morning office-based work to support pre-market trading activity with some corresponding flexibility toward the end of the day.

 

Key Relationships

Reports To: Deputy Chief Compliance Officer

Other Key Relationships: General Counsel and CCO, Legal Department, Portfolio Managers & Analysts, Trade Execution Desk, Trade Support, Technology    

                                                           

Primary Responsibilities

  • Work with the London Compliance Officer to provide trade compliance support to the teams in London with some assistance to the equivalent teams in New York
  • Pre-trade compliance support includes reviewing trades against the relevant EU regulatory obligations and internal investment guidelines using the firm’s order management and other systems/tools to exercise this responsibility
  • Assisting with wall crossings and management of the MNPI process
  • Help with the EU and UK regulatory filings and disclosures
  • Assist with the firm’s compliance program covering personal account dealing, gifts & entertainment, restricted list maintenance, and surveillance of trading activity, transaction reporting and electronic communications
  • Partner with Portfolio Managers and Traders to understand the scope of securities they are trading/monitoring to pre-empt restrictions that may predicate trading activity
  • Assist the Compliance Officer to educate and train employees on compliance issues and industry developments
  • Be a resource to business groups to resolve compliance issues in accordance with firm policies
  • Flexibility to provide ad hoc compliance coverage to the firm’s NY office when resources are needed

 

Requirements

  • Bachelor’s degree or higher
  • 3+ years of experience in asset management or hedge fund compliance
  • Knowledge of MiFID II requirements and other EU and UK regulations as they relate to short selling and substantial shareholding disclosures and the UK Takeover Panel
  • Knowledge and experience with a broad range of instruments and asset classes
  • Strong written and oral communication skills
  • Organized and self-motivated with strong attention to detail
  • Able to multi-task in a dynamic high-pressure environment
  • Experience working directly with investment and trading professionals

 

In all respects, candidates need to reflect the following SFM core values:

Integrity   //   Teamwork   //   Smart risk-taking   //   Owner’s Mindset   //   Humility

 

Apply for this job

*

indicates a required field

Resume/CV*

Accepted file types: pdf, doc, docx, txt, rtf

Cover Letter

Accepted file types: pdf, doc, docx, txt, rtf

Education

Select...
Select...
Select...
Select...
Select...
Select...
Select...

Candidate Privacy Notice

SFM UK Management LLP and its associated entities (“SFM”, “we” or “us”) are each a data controller for the purposes of data protection law. As part of our recruitment activities, we collect and process personal data (“personal information”) relating to job applicants. This Candidate Privacy Notice (“Privacy Notice”) sets out what personal information we collect when you apply for a role with us, why we collect it and how it is processed. Processing includes all activities relating to your personal information and in addition to collection means storage, handling, sharing, accessing, using, transferring, and disposing of it.

What personal information do we collect and process?

We collect personal information in a number of ways. This may be through you providing it to us verbally or in writing, in emails, via Greenhouse, our cloud services recruiting system provider, in application forms or CVs or during our interactions, or from third parties such as recruitment agencies, referees or colleague referrals. We may also collect personal information from sources where you have made it publicly available such as LinkedIn or other social media networks.

The non-exhaustive list below contains examples of the types of personal information we process:

  • Personal and contact details such as your name, address, email address, phone number and date and place of birth
  • Education and work history, professional qualifications, experience, and skills
  • Remuneration and benefits entitlements information
  • Nationality, visa, right to work and identity information (e.g. passport, driving licence, number)
  • Results of pre-employment screening (e.g. prior employment, credit history, criminal record checks where permitted under local law and where relevant to the role)
  • Assessment results and information from interviews
  • Information provided by third parties such as a recruitment agency or referee, or publicly available information

Why do we process personal information?

We process your personal information in connection with recruitment for one or more purposes and where we have a legal basis to do so including those listed below:

  • We have a legitimate interest in managing the recruitment process, assessing and confirming a candidate’s suitability for employment, making hiring decisions and communicating with candidates.
  • To ensure we are complying with our regulatory or legal obligations, such as in connection with eligibility to work, or because of the requirements of our Regulators.
  • It may be necessary for us to process your personal information for entry into or performance of the employment contract.

We also process special categories of personal information:

We also process special categories of personal information such as information relating to your racial or ethnic origin, religious beliefs, sexual orientation, or physical or mental health. We do not process special categories except where we are required or permitted to do so by applicable law, or we have in accordance with legal requirements, obtained your consent. Examples of when we may process special categories of personal information include the following:

  • To enable us to comply with employment law obligations such as making reasonable adjustments for a candidate who is disabled.
  • For equal opportunities monitoring purposes to help ensure we conduct recruitment processes which comply with discrimination laws, or for the substantial public interest reason of maintaining and promoting equality of opportunity and diversity, equity and inclusion.
  • We may also have to use special category personal information to conduct criminal background checks. This special category of personal information will only be processed where permitted or necessary in accordance with local laws, or where you have provided explicit consent where this is required.

Who do we share your personal information with?

Your personal information will be shared with our recruiting system provider, Greenhouse Software Inc and internally within SFM with members of the HR team and managers involved in the recruitment process business areas with a vacancy.  

We may also share it with third parties as needed, in order to seek references, to conduct background checks, or with a regulator or other authority, or third-party suppliers such as benefits providers. This may be to comply with our legal obligations or perform our contractual obligations in relation to you (for example, to ensure you are set up on our systems from your first day of work.)

How do we protect your personal information?

Our systems are protected to ensure that your personal information is not lost, accidentally destroyed, misused, nor accessed by anyone outside the proper performance of their duties. To the extent that your data is processed by a third party, we make sure that they promise to give your data equivalent protection. If your application is unsuccessful, we will hold your personal information on file for 18 months, after which it will be deleted or destroyed unless you want us to retain it for longer to be considered for other opportunities, or there are particular reasons or requirements to retain it for longer. This could be where we have to retain a record of it in relation to legal or regulatory obligations, or in the defence of a legal claim. If you become employed by us, personal information gathered during the recruitment process will be retained and will be subject to our separate Employee Data Privacy Statement.

As an international organisation, personnel authorised by us may access your personal information in any country in which SFM operates, including the United States of America, and which do not have equivalent privacy laws to those in the UK or the EU. Regardless of where your personal information is transferred, we shall ensure that it is secure and subject to appropriate safeguards.

Your rights

You have the following rights under data protection law. You can:

  • Access and obtain a copy of your personal information on request
  • Require us to correct inaccurate or incomplete data
  • Request that we delete your personal information or stop processing it, for example where you feel we no longer need to process it for the purpose for which it was provided, or where consent was required for processing and you wish to withdraw it
  • Object to processing where we are relying on a legitimate interest as the ground for processing
  • Request that we restrict the processing of your personal information if for example you wish us to suspend processing in order to establish its accuracy or the reason for us processing it
  • Request that we transfer your data to another party.

If you would like to exercise any of these rights or have any questions about this Privacy Notice please contact Rebecca McCourt at Rebecca.mccourt@soros.com or on +44 207 758 4859. You may also make a complaint to the authority responsible for upholding data protection rights, if you feel you have grounds to do so. In the UK this is the Information Commissioner’s Office (www.ico.org.uk or at 0303 123 1113).

Voluntary Demographic Questionnaire- UK

At Soros Fund Management, we are committed to providing equal opportunity for all job applicants and colleagues. We do not discriminate on the basis of gender, sexual orientation, marital or civil partner status, gender reassignment, race, colour, nationality, ethnicity or national origin, religion or belief, disability or age. This questionnaire is intended to help us monitor the effectiveness of our commitment to equal opportunity, maintain equal opportunities best practice and identify barriers to workplace diversity.

We ask therefore that you answer the following questions. Responding to these questions is not a requirement to be considered for an opportunity at SFM. The information you provide will be used only for monitoring purposes and will not be taken into account in the recruitment process or any hiring decision.  

Select...
Select...
Select...
Select...