Compliance Analyst - Asset Management firm

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

Job summary

A leading asset management firm is seeking a Compliance Analyst in Gloucester. The role involves supporting compliance initiatives, monitoring client investment restrictions, and advising on regulatory matters. This is an excellent opportunity for professionals with a strong compliance background looking to advance their careers.

Qualifications

• Minimum of 2 years' generalist compliance experience within a fund or Asset Management firm.

Responsibilities

• Support compliance reviews and approvals for financial promotions.
• Implement the Compliance Monitoring plan and perform monitoring activities.
• Advise staff on compliance matters.

Skills

Compliance experience

Regulatory knowledge

Attention to detail

Job description

Compliance Analyst

Asset Management firm

Location: Gloucester, United Kingdom

Responsibilities:

• Support compliance reviews and approvals for financial promotions and marketing materials.
• Assist in implementing the Compliance Monitoring plan and perform monitoring activities including best execution and market abuse.
• Collaborate with the compliance team on policies, procedures, and issues.
• Monitor daily client investment restrictions.
• Maintain and update compliance registers.
• Complete and submit periodic compliance reports and regulatory submissions.
• Advise staff on compliance matters.
• Stay informed on regulatory developments.
• Support compliance-led projects.
• Manage employee conflicts of interest.

Requirements:

• Minimum of 2 years' generalist compliance experience within a fund or Asset Management firm.