Compliance Analyst - Asset Management firm

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

Job summary

A leading asset management firm is seeking a Compliance Analyst to enhance their compliance efforts in London. The role includes support for compliance reviews, monitoring of regulations, and collaboration with the compliance team to ensure adherence to standards. Candidates should have at least 2 years of experience within a compliance role in asset management.

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.
• Monitor client investment restrictions daily.
• Assist in compliance project management and regulatory submissions.

Skills

Compliance

Regulatory Monitoring

Collaboration

Job description

Compliance Analyst

Asset Management firm

Location: London

Job Description:

• 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 various areas including best execution and market abuse.
• Collaborate with other members of the compliance team 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 reports, including regulatory submissions.
• Advise staff on compliance matters.
• Monitor and keep abreast of regulatory developments.
• Assist on compliance-led projects.
• Manage employee conflicts of interest.

Requirements:

• At least 2 years of generalist compliance experience gained in a fund or asset management firm.