Compliance Analyst - Asset Management firm

JR United Kingdom; Liverpool; On-site; GBP 30,000 - 45,000; Full time

Job summary

A prominent Asset Management firm in Liverpool is seeking a Compliance Analyst to support and implement compliance functions. You will be tasked with compliance monitoring, reviews, and advising staff on regulatory matters. Candidates should have at least two years of related compliance experience.

Qualifications

• Minimum of 2 years' generalist compliance experience in a fund or asset management firm.

Responsibilities

• Supporting compliance reviews and approvals for financial promotions.
• Performing daily monitoring of client investment restrictions.
• Maintaining and updating compliance registers.

Skills

Compliance reviews

Regulatory knowledge

Monitoring

Job description

Social network you want to login/join with:

Compliance Analyst - Asset Management firm, Liverpool

col-narrow-left

Client:

Robert Half

Location:

Liverpool, United Kingdom

Job Category:

Other

-

EU work permit required:

Yes

col-narrow-right

Job Views:

2

Posted:

04.06.2025

Expiry Date:

19.07.2025

col-wide

Job Description:

Compliance Analyst

Asset Management firm

Location: Liverpool

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 and staying updated on regulatory developments
• Supporting compliance-led projects
• Managing employee conflicts of interest

The requirements:

• Minimum of 2 years' generalist compliance experience in a fund or asset management firm