Compliance Analyst - Asset Management firm

JR United Kingdom; Basildon; On-site; GBP 30,000 - 45,000; Full time

Job summary

A leading asset management firm is seeking a Compliance Analyst to join their team in Basildon. The role involves supporting compliance reviews, monitoring regulatory adherence, and collaborating on compliance-related projects. Candidates should have at least 2 years of experience in a compliance role within the asset management sector.

Qualifications

• Minimum 2 years compliance experience in Asset Management.
• Strong understanding of regulatory standards.
• Ability to advise on compliance matters.

Responsibilities

• Support compliance reviews for financial promotions.
• Assist in implementing Compliance Monitoring plans.
• Conduct daily monitoring of client investment restrictions.

Skills

Compliance Monitoring

Regulatory Submissions

Financial Promotions

Job description

Compliance Analyst

Asset Management firm

Location: Basildon, United Kingdom

Job Description:

We are seeking a Compliance Analyst to join our Asset Management team in Basildon. The successful candidate will support various compliance functions to ensure adherence to regulatory standards and internal policies.

• Support compliance reviews and approvals for financial promotions and marketing materials.
• Assist the Compliance department in implementing the Compliance Monitoring plan and perform monitoring in areas such as best execution and market abuse.
• Collaborate with team members on policies, procedures, and compliance issues.
• Conduct daily monitoring of client investment restrictions.
• Maintain and update compliance registers.
• Assist in completing and submitting periodic compliance reports and regulatory submissions.
• Advise staff on compliance matters.
• Monitor regulatory developments and ensure ongoing compliance.
• Participate in compliance-led projects.
• Manage employee conflicts of interest.

Requirements:

• At least 2 years of generalist compliance experience within a fund or Asset Manager environment.

Additional Information:

• EU work permit required: Yes
• Job posted on: 04.06.2025
• Application deadline: 19.07.2025