Compliance Analyst - Asset Management firm

JR United Kingdom; Hounslow; On-site; GBP 35,000 - 60,000; Full time

Job summary

A leading asset management firm is seeking a Compliance Analyst in southwest London. The role involves supporting compliance reviews, monitoring regulatory developments, and updating compliance registers. Candidates should have at least 2 years of compliance experience in a fund or asset manager.

Qualifications

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

Responsibilities

• Support compliance reviews and approvals for financial promotions and marketing materials.
• Collaborate with the compliance team on policies, procedures, and compliance issues.
• Perform daily monitoring of client investment restrictions.

Skills

Compliance experience

Regulatory knowledge

Job description

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Compliance Analyst - Asset Management firm, south west london

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Client:

Robert Half

Location:

south west london, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Views:

2

Posted:

04.06.2025

Expiry Date:

19.07.2025

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Job Description:

Compliance Analyst

Asset Management firm

London

The duties:

• 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 various areas including best execution and market abuse
• Collaborate with other members of the compliance team 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 returns and reports, including regulatory submissions
• Advise staff on compliance matters
• Monitor and stay updated on regulatory developments
• Assist with compliance-led projects
• Manage employee conflicts of interest

The requirements:

• At least 2 years' generalist compliance experience gained in a fund or Asset Manager