Compliance Analyst - Asset Management firm

JR United Kingdom; Basingstoke; On-site; GBP 40,000 - 60,000; Full time

Job summary

A leading firm in asset management seeks a Compliance Analyst based in Basingstoke. You will play a crucial role in supporting compliance reviews, monitoring of regulations, and advising staff on compliance matters. The ideal candidate will have at least two years of compliance experience, preferably within the asset management sector.

Qualifications

• At least 2 years' compliance experience in a fund or Asset Manager.

Responsibilities

• Support compliance reviews and approvals for financial promotions.
• Perform ongoing monitoring of client investment restrictions.
• Maintain compliance registers and assist with regulatory submissions.

Skills

Compliance Reviews

Regulatory Compliance

Monitoring

Advising Staff

Job description

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Compliance Analyst - Asset Management firm, basingstoke

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Client:

Robert Half

Location:

Job Category:

Other

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EU work permit required:

Yes

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Job Views:

2

Posted:

04.06.2025

Expiry Date:

19.07.2025

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Job Description:

Compliance Analyst

Asset Management firm

London

The duties:

• Support compliance reviews and approvals for financial promotions and marketing materials
• Support the Compliance department in implementing the Compliance Monitoring plan and perform monitoring in various areas including best execution and market abuse
• Collaborate with other members of the compliance team on policies, procedures, and compliance issues
• Perform daily monitoring of client investment restrictions
• Maintain and update compliance registers
• Assist in completing and submitting periodic compliance returns and reports including regulatory submissions
• Advise staff on compliance matters
• Monitor and keep abreast of regulatory developments
• Assist on compliance-led projects
• Address employee conflicts of interest

The requirements

• At least 2 years' generalist compliance experience gained in a fund or Asset Manager