Compliance Analyst - Asset Management firm

JR United Kingdom; Leicester; On-site; GBP 40,000 - 55,000; Full time

Job summary

A prominent asset management firm is seeking a Compliance Analyst to join their team in London. The candidate will support compliance reviews, monitor regulatory developments, and assist in implementing compliance strategies. With a focus on maintaining high standards in financial promotions and client monitoring, this role offers a competitive salary and the chance to work within a dynamic environment.

Qualifications

• Experience in compliance within fund or asset management.
• Strong knowledge of financial regulations.
• Ability to advise and communicate compliance matters effectively.

Responsibilities

• Support compliance reviews and approvals for materials.
• Monitor client investment restrictions daily.
• Advise staff on compliance and regulatory developments.

Skills

Compliance Monitoring

Financial Regulations

Analytical Skills

Education

2 years' generalist compliance experience

Job description

Compliance Analyst

Asset Management firm

Location: London

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 returns and regulatory reports.
• Advise staff on compliance matters.
• Monitor and stay updated on regulatory developments.
• Participate in compliance-led projects.
• Manage employee conflicts of interest.

Requirements:

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