Compliance Analyst - Asset Management firm

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

Job summary

A leading Asset Management firm is seeking a Compliance Analyst to enhance their compliance department. The successful candidate will handle reviews, monitoring, and regulatory reporting, and ensure adherence to compliance practices. This role requires strong collaboration with team members and a solid background in compliance within the financial sector.

Qualifications

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

Responsibilities

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

Skills

Compliance Reviews

Monitoring

Regulatory Reporting

Collaboration

Job description

Compliance Analyst

Asset Management firm

Location: Hemel Hempstead, United Kingdom

Job Description:

The Compliance Analyst will support the compliance department in various functions including reviews, monitoring, and regulatory reporting. Responsibilities include:

• Supporting compliance reviews and approvals for financial promotions and marketing materials.
• Implementing the Compliance Monitoring plan and performing monitoring activities 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.
• Assisting in preparing and submitting compliance reports and regulatory submissions.
• Advising staff on compliance matters.
• Monitoring regulatory developments.
• Participating in compliance-led projects.
• Managing employee conflicts of interest.

Requirements:

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

Additional Details:

• EU work permit required: Yes
• Job posted on: 04.06.2025
• Expiry date: 19.07.2025
• Job views: 2