Compliance Analyst - Asset Management firm

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

Job summary

A leading asset management firm is seeking a Compliance Analyst in Chester, UK. The role involves supporting compliance reviews, conducting monitoring, and advising staff on compliance matters. Successful candidates will have at least 2 years of compliance experience in the financial sector, making this an excellent opportunity for growth in a dynamic environment.

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 in implementing the Compliance Monitoring plan.
• Conduct daily monitoring of client investment restrictions.

Skills

Compliance Reviews

Regulatory Knowledge

Monitoring

Client Investment Restrictions

Conflict Management

Job description

Compliance Analyst

Asset Management firm

Location: Chester, United Kingdom

Job Responsibilities:

1. Support compliance reviews and approvals for financial promotions and marketing materials.
2. Assist in implementing the Compliance Monitoring plan and perform monitoring in areas such as best execution and market abuse.
3. Collaborate with the compliance team on policies, procedures, and issues.
4. Conduct daily monitoring of client investment restrictions.
5. Maintain and update compliance registers.
6. Complete and submit periodic compliance reports and regulatory submissions.
7. Advise staff on compliance matters.
8. Stay informed about regulatory developments.
9. Assist with compliance-led projects.
10. Manage employee conflicts of interest.

Requirements:

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