Compliance Analyst - Asset Management firm

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

Job summary

A leading asset management firm is seeking a Compliance Analyst in High Wycombe. The role involves supporting compliance reviews, monitoring regulations, and advising staff on compliance matters. Candidates should have at least 2 years of experience in compliance within the fund or asset management sector.

Qualifications

• At least 2 years' experience in compliance within fund or asset management.

Responsibilities

• Support compliance reviews and marketing materials approvals.
• Monitor client investment restrictions and manage compliance registers.
• Assist in regulatory submissions and compliance-led projects.

Skills

Compliance reviews

Monitoring regulatory developments

Advising staff on compliance matters

Collaborating on policies and procedures

Job description

Compliance Analyst - Asset Management firm, High Wycombe

Client: Robert Half

Location: High Wycombe, United Kingdom

Job Category: Other

EU work permit required: Yes

Job Details

Job Views: 2

Posted: 04.06.2025

Expiry Date: 19.07.2025

Job Description:

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

Requirements:

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