Compliance Analyst - Asset Management firm

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

Job summary

A well-regarded Asset Management firm in Coventry is looking for a Compliance Analyst to join their team. The role involves supporting compliance reviews, monitoring regulatory developments, and assisting with compliance-related projects. The ideal candidate will have a solid background in compliance within an asset management context, with at least 2 years of experience.

Qualifications

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

Responsibilities

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

Skills

Compliance monitoring

Financial promotions

Conflict management

Market abuse awareness

Regulatory compliance

Job description

Compliance Analyst

Asset Management firm

Location: Coventry, 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 including 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 and keep abreast of changes.
• Assist with compliance-led projects.
• Manage employee conflicts of interest.

Requirements:

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

Additional details:

• Client: Robert Half
• EU work permit required: Yes
• Location: Coventry, United Kingdom
• Job Category: Other
• Posted: 04.06.2025
• Expiry Date: 19.07.2025