PAD Compliance Analyst

On-site

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

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
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.

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.
responsibilities progressively as they demonstrate competence. Key
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