Compliance Analyst - Asset Management firm

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

Job summary

A leading asset management firm in Guildford is seeking a Compliance Analyst to support compliance reviews, collaborate on policies, and manage compliance monitoring. The role requires a minimum of 2 years of compliance experience, ideally in fund or asset management. This is an excellent opportunity to grow your compliance career in a dynamic environment.

Qualifications

• At least 2 years of generalist compliance experience in fund or asset management.
• Experience working on compliance monitoring and regulatory submissions.

Responsibilities

• Support compliance reviews and approvals for financial promotions.
• Implement the Compliance Monitoring plan and perform monitoring.
• Maintain and update compliance registers.

Skills

Compliance Reviews

Monitoring

Collaboration

Regulatory Compliance

Advising Staff

Job description

Compliance Analyst - Asset Management firm, Guildford

Client:

Robert Half

Location:

Guildford, United Kingdom

Job Category:

Other

EU work permit required:

Yes

Job Views:

2

Posted:

04.06.2025

Expiry Date:

19.07.2025

Job Description:

Compliance Analyst

Asset Management firm

Guildford

The duties include:

• Supporting compliance reviews and approvals for financial promotions and marketing materials
• Assisting the Compliance department in implementing the Compliance Monitoring plan and performing monitoring in areas such as best execution and market abuse
• Collaborating with team members on policies, procedures, and compliance issues
• Performing daily monitoring of client investment restrictions
• Maintaining and updating compliance registers
• Completing and submitting periodic compliance reports and regulatory submissions
• Advising staff on compliance matters
• Monitoring regulatory developments
• Supporting compliance-led projects
• Managing employee conflicts of interest

Requirements:

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