Compliance Analyst - Asset Management firm

JR United Kingdom; Bournemouth; On-site; GBP 35,000 - 55,000; Full time

Job summary

A leading asset management firm based in Bournemouth is seeking a Compliance Analyst. This position involves supporting various compliance activities, including monitoring client investment restrictions and ensuring adherence to regulatory standards. The ideal candidate will have a minimum of 2 years of compliance experience in the financial sector.

Qualifications

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

Responsibilities

• Support compliance reviews and approvals for financial promotions and marketing materials.
• Assist the Compliance department in implementing the Compliance Monitoring plan.
• Collaborate with compliance team members on policies, procedures, and compliance issues.

Job description

Compliance Analyst

Asset Management firm

Location: Bournemouth, United Kingdom

Job Description:

• 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 other compliance team members 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 reports and regulatory submissions.
• Advise staff on compliance matters.
• Monitor and stay updated on regulatory developments.
• Support compliance-led projects.
• Manage employee conflicts of interest.

Requirements:

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

Additional Details:

Client: Robert Half

Location: Bournemouth, United Kingdom

Job Category: Other

EU work permit required: Yes

Job Views: 2

Posted: 04.06.2025

Expiry Date: 19.07.2025