Compliance Analyst - Asset Management firm

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

Job summary

A leading Asset Management firm in Birmingham is seeking a Compliance Analyst to support compliance operations and implement monitoring plans. The role involves collaborating on compliance policies, managing client investment restrictions, and advising on compliance matters. Candidates should have a minimum of 2 years of compliance experience in a fund or Asset Manager.

Qualifications

• At least 2 years of generalist compliance experience in fund or Asset Management.

Responsibilities

• Supporting compliance reviews and approvals for financial promotions.
• Performing daily monitoring of client investment restrictions.
• Maintaining compliance registers and submitting compliance reports.

Skills

Compliance reviews

Monitoring

Advising staff

Managing conflicts of interest

Job description

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Compliance Analyst - Asset Management firm, Birmingham

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Client:

Robert Half

Location:

Birmingham, United Kingdom

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

Location: Birmingham

The duties include:

• Supporting compliance reviews and approvals for financial promotions and marketing materials.
• Supporting the Compliance department in implementing the Compliance Monitoring plan and performing monitoring in areas including best execution and market abuse.
• Collaborating with other compliance team members on policies, procedures, and issues.
• Performing daily monitoring of client investment restrictions.
• Maintaining and updating compliance registers.
• Assisting in completing and submitting periodic compliance returns and reports, including regulatory submissions.
• Advising staff on compliance matters.
• Monitoring regulatory developments.
• Assisting on compliance-led projects.
• Managing employee conflicts of interest.

The requirements:

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