Compliance Analyst - Asset Management firm

JR United Kingdom; Kingston upon Hull; On-site; GBP 30,000 - 50,000; Full time

Job summary

A prestigious Asset Management firm in Kingston upon Hull is seeking a Compliance Analyst. In this role, you will be responsible for supporting compliance reviews, performing monitoring, and collaborating on compliance issues. Ideal candidates will have at least 2 years of generalist compliance experience, focusing on regulatory matters.

Qualifications

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

Responsibilities

• Support compliance reviews and approvals for financial promotions and marketing materials.
• Perform daily monitoring of client investment restrictions.
• Advise staff on compliance matters.

Skills

Compliance reviews

Monitoring

Regulatory submissions

Advising staff

Job description

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Compliance Analyst - Asset Management firm, Kingston upon Hull, East Yorkshire

Client: Robert Half

Location: Kingston upon Hull, East Yorkshire, 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

Location: Kingston upon Hull

The duties include:

• 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