Compliance Analyst - Asset Management firm

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

Job summary

A leading asset management firm is seeking a Compliance Analyst to support compliance reviews and monitoring activities. The successful candidate will play a crucial role in ensuring regulatory compliance, assisting with compliance reports, and advising staff on compliance matters. This position entails collaboration with various departments to mitigate risks and uphold compliance standards.

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.
• Maintain and update compliance registers.
• Perform daily monitoring of client investment restrictions.

Skills

Compliance Reviews

Regulatory Submissions

Monitoring

Policy Development

Compliance Reporting

Job description

Compliance Analyst

Asset Management firm

Location: Doncaster, United Kingdom

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

Requirements:

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