Compliance Analyst - Asset Management firm

JR United Kingdom; Luton; On-site; GBP 30,000 - 50,000; Full time

Job summary

A leading asset management firm is seeking a Compliance Analyst to support compliance reviews and ensure adherence to regulatory standards. The role involves monitoring client investments, updating compliance registers, and advising staff on compliance matters, ideal for someone with at least 2 years of experience in a similar role.

Qualifications

• At least 2 years' experience in compliance within fund or asset management.
• Generalist compliance knowledge and skills.

Responsibilities

• Support compliance reviews and approvals for financial promotions.
• Collaborate on compliance policies and procedures.
• Perform daily monitoring of client investment restrictions.

Skills

Compliance review

Monitoring

Regulatory awareness

Collaboration

Job description

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Compliance Analyst - Asset Management firm, Luton, Bedfordshire

Client: Robert Half

Location: Luton, Bedfordshire, 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: Luton

The duties:

• 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 keep abreast of regulatory developments
• Assist on compliance-led projects
• Manage employee conflicts of interest

The requirements

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