Our client is a highly regulated financial services firm looking for an interim PAD Compliance Analyst to support their Core Compliance team in EMEA.
The role is focused on the Personal Account Dealing (PAD) compliance framework, helping to manage increased volumes and backlogs while the client completes permanent hiring.
You will work closely with:
- The Core Compliance team in London
- Traders and senior portfolio managers across EMEA
- A Bangalore-based support team
You will receive on-the-job training, shadowing experienced team members, and will take on responsibilities progressively as they demonstrate competence.
Key Responsibilities:
Personal Account Dealing (PAD) Onboarding & Due Diligence
- Review new joiners’ personal brokerage and investment accounts as part of regulatory onboarding
- Assess account documentation and investment management agreements to understand what trading is permitted
- Determine whether accounts can remain open, must be closed, or require transfer to permitted brokers/providers
- Document assessments and decisions clearly in line with internal procedures
PAD Surveillance & Monitoring
- Conduct ongoing monitoring of PAD account activity for potential insider dealing / market abuse risks
- Review and assess trades against internal PAD policies, including pre‑clearance requirements
- Identify exceptions, anomalies, or policy breaches and escalate as appropriate
- Maintain accurate records of reviews, decisions, and escalations
Stakeholder Communication & Advisory
- Act as a day‑to‑day point of contact for PAD queries from traders and other staff
- Provide clear, concise guidance on PAD policies and requirements (e.g., account closures, transfers, pre‑clearance)
- Communicate confidently with senior portfolio managers and trading staff, representing the Compliance function professionally
- Liaise regularly with the Bangalore PAD team to coordinate workload, share information and ensure consistency of approach
Process Execution & Continuous Improvement
- Follow established procedures, decision trees and logic flows to process PAD requests and account reviews
- Escalate grey areas or non‑standard scenarios to senior team members for direction
Skills required:
- Prior experience in Personal Account Dealing / Employee Trading compliance, monitoring or control functions
- Experience in a regulated financial services or compliance-related environment (e.g. investment management, banking, brokerage, or similar), OR strong demonstrable interest in financial regulation and compliance
- Experience in compliance, risk, surveillance or control roles within investment management or banking
- Familiarity with insider dealing / market abuse concepts and regulatory expectations
This role is for an initial 3 months and is inside IR35. You will be expected to attend the London office (Mayfair) full time.
