Compliance Analyst - Asset Management firm

JR United Kingdom; Leeds; On-site; GBP 35,000 - 55,000; Full time

Job summary

A leading Asset Management firm in Leeds is seeking a Compliance Analyst to support the compliance department and perform vital monitoring activities. The ideal candidate will have at least 2 years of experience in a compliance role within a fund or Asset Management environment. This position requires strong analytical skills and a thorough understanding of regulatory requirements.

Qualifications

• At least 2 years of compliance experience in Asset Management.
• Knowledge of regulatory developments.
• Experience in compliance reporting.

Responsibilities

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

Skills

Compliance monitoring

Regulatory knowledge

Analytical skills

Job description

Compliance Analyst

Asset Management firm

Location: Leeds, West Yorkshire, United Kingdom

Job Description:

• Support compliance reviews and approvals for financial promotions and marketing materials.
• Assist the Compliance department in implementing the Compliance Monitoring plan and perform monitoring in areas such as best execution and market abuse.
• Collaborate with team members 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 reports and regulatory submissions.
• Advise staff on compliance matters.
• Monitor and stay informed of regulatory developments.
• Support compliance-led projects.
• Handle employee conflicts of interest.

Requirements:

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

Additional details:

• EU work permit required: Yes
• Job Views: 2
• Posted: 04.06.2025
• Expiry Date: 19.07.2025