Compliance Analyst - Asset Management firm

JR United Kingdom; Cardiff; On-site; GBP 35,000 - 50,000; Full time

Job summary

A leading asset management firm in Cardiff is seeking a Compliance Analyst to support compliance initiatives. The role entails conducting compliance reviews, monitoring regulatory changes, and engaging with other compliance team members to ensure adherence to standards. Candidates should have at least 2 years of relevant experience in a similar environment.

Benefits

Competitive salary

Opportunities for professional development

Supportive work environment

Qualifications

• Minimum 2 years' generalist compliance experience in fund or Asset Manager.
• Experience with compliance monitoring and regulatory requirements.

Responsibilities

• Support compliance reviews for financial promotions and marketing materials.
• Maintain compliance registers and assist in regulatory reports.
• Advise staff on compliance matters and monitor regulatory developments.

Skills

Compliance monitoring

Regulatory reporting

Financial promotions review

Client investment restrictions monitoring

Job description

Compliance Analyst - Asset Management firm, Cardiff

Client: Robert Half

Location: Cardiff, United Kingdom

Job Category: Other

EU work permit required: Yes

Job Views: 2

Posted: 04.06.2025

Expiry Date: 19.07.2025

Job Description:

Compliance Analyst

Asset Management firm

Location: Cardiff

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 areas including 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 returns and regulatory reports
• Advise staff on compliance matters
• Monitor and stay updated on regulatory developments
• Assist with compliance-led projects
• Manage employee conflicts of interest

The requirements:

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