Compliance Analyst - Asset Management firm

JR United Kingdom; London; On-site; GBP 40,000 - 70,000; Full time

Job summary

An established industry player is looking for a Compliance Analyst to enhance its compliance department. This role involves crucial responsibilities such as monitoring compliance with regulations, conducting reviews of financial promotions, and collaborating on policies. The ideal candidate will have a solid background in compliance within the asset management sector, ensuring adherence to regulatory standards and supporting compliance-led projects. Join this dynamic team and contribute to maintaining high compliance standards in a fast-paced environment, where your expertise will help shape the future of the firm.

Qualifications

• 2+ years of compliance experience in asset management.
• Strong understanding of regulatory requirements and best practices.

Responsibilities

• Support compliance reviews for financial promotions and marketing.
• Conduct daily monitoring of client investment restrictions.

Skills

Compliance Monitoring

Regulatory Reporting

Policy Adherence

Financial Promotions Review

Job description

Compliance Analyst - Asset Management firm, London

This role is based in London and requires an EU work permit. The position is with Robert Half, a client in the asset management sector.

Job Overview

We are seeking a Compliance Analyst to support our compliance department in various functions including monitoring, policy adherence, and regulatory reporting within an asset management firm.

Key Responsibilities

1. Support compliance reviews and approvals for financial promotions and marketing materials.
2. Assist in implementing and performing monitoring activities, including best execution and market abuse.
3. Collaborate on policies, procedures, and compliance issues with team members.
4. Conduct daily monitoring of client investment restrictions.
5. Maintain and update compliance registers.
6. Complete and submit periodic compliance reports and regulatory submissions.
7. Advise staff on compliance matters.
8. Monitor regulatory developments and keep the team informed.
9. Assist with compliance-led projects and manage employee conflicts of interest.

Requirements

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