Compliance Analyst - Asset Management firm

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

Job summary

A leading asset management firm in London is seeking a Compliance Analyst to support compliance reviews and ensure adherence to regulations. The role involves assisting with the Compliance Monitoring plan, advisory on compliance matters, and maintaining compliance registers. Candidates should have a minimum of 2 years' experience in a similar capacity.

Qualifications

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

Responsibilities

• Support compliance reviews and approvals for financial promotions.
• Assist in implementing the Compliance Monitoring plan.
• Perform daily monitoring of client investment restrictions.

Skills

Compliance Monitoring

Regulatory Knowledge

Client Investment Restrictions

Job description

Compliance Analyst

Asset Management firm

Location: London

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 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 regulatory developments
• Support compliance-led projects
• Address employee conflicts of interest

Requirements:

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