Maven - Compliance Analyst

• Policies, Procedures, and Training Materials • Support the review and update of compliance policies and procedures and assist with the drafting and maintenance of training materials and employee guidance. • Internal Reporting • Internal Reporting • Support the compilation and coordination of internal compliance reports, including quarterly compliance reports and other periodic disclosures. • Wall-crossing & Restricted List Management • Ensure the safe and effective operation of Maven’s wall-crossing processes and assist with maintaining restricted lists and watch lists. Work directly with our trading business units to support the implementation of effective information barriers. • Operational Compliance • Support Maven’s extensive operational compliance framework, contributing to processes such as those related to personal account dealing. Escalate potential compliance issues and contribute to documentation and reporting. • Prudential Monitoring • Assist the ongoing monitoring of the firm’s prudential obligations and support reporting in accordance with relevant regulatory frameworks. • Regulatory Reporting • Assist in the preparation and validation of regulatory filings required under UK, EU, US, and other relevant regimes; work with the team to ensure timely and accurate submissions. • External Document Requests & Regulatory Enquiries • Assist with responding to requests from regulators and counterparties, including regulatory questionnaires and due diligence enquiries. • Training & Attestation Administration • Coordinate the tracking and completion of mandatory compliance training and attestations across the firm.