Compliance Analyst - Asset Management firm

JR United Kingdom; Dartford; On-site; GBP 30,000 - 45,000; Full time

Job summary

A leading asset management firm in Dartford is seeking a Compliance Analyst. The ideal candidate should have at least 2 years of experience in compliance, focusing on financial regulations and marketing materials. Responsibilities include supporting compliance reviews, monitoring requirements, and advising staff on compliance issues. This role offers a chance to work closely with a dynamic compliance team within a reputable firm.

Qualifications

• Minimum of 2 years' generalist compliance experience in a fund or asset management company.

Responsibilities

• Support compliance reviews and approvals for financial promotions.
• Assist in implementing the Compliance Monitoring plan.
• Conduct daily monitoring of client investment restrictions.
• Advise staff on compliance matters.

Skills

Compliance reviews

Regulatory submissions

Monitoring investment restrictions

Advising staff on compliance

Job description

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Compliance Analyst - Asset Management firm, Dartford

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Client:

Robert Half

Location:

Dartford, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Views:

2

Posted:

04.06.2025

Expiry Date:

19.07.2025

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Job Description:

Compliance Analyst

Asset Management firm

Location: Dartford

The duties include:

• Support compliance reviews and approvals for financial promotions and marketing materials.
• Assist in implementing the Compliance Monitoring plan and perform monitoring in areas such as best execution and market abuse.
• Collaborate with the compliance team on policies, procedures, and issues.
• Conduct daily monitoring of client investment restrictions.
• Maintain and update compliance registers.
• Assist with regulatory submissions and periodic compliance reports.
• Advise staff on compliance matters.
• Stay updated on regulatory developments.
• Support compliance-related projects.
• Manage conflicts of interest disclosures.

The requirements:

• Minimum of 2 years' generalist compliance experience in a fund or asset management company.