Compliance Analyst - Asset Management firm

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

Job summary

A leading asset management firm seeks a Compliance Analyst for their Maidstone office. The ideal candidate will support compliance reviews, assist with monitoring plans, and collaborate with the team on compliance issues, while having at least 2 years of experience in compliance within the industry.

Qualifications

• At least 2 years' generalist compliance experience within a fund or asset management firm.

Responsibilities

• Support compliance reviews and approvals for financial promotions.
• Assist in implementing the Compliance Monitoring plan.
• Perform daily monitoring of client investment restrictions.

Skills

Compliance Reviews

Monitoring

Regulatory Knowledge

Policy Development

Job description

Compliance Analyst

Asset Management firm

Location: Maidstone, United Kingdom

Job Category: Other

EU work permit required: Yes

Job Details:

• Support compliance reviews and approvals for financial promotions and marketing materials
• Assist the Compliance department in implementing the Compliance Monitoring plan, including monitoring for 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 compliance reports and regulatory submissions
• Advise staff on compliance matters
• Monitor regulatory developments
• Support compliance-led projects
• Manage employee conflicts of interest

Requirements:

• At least 2 years' generalist compliance experience within a fund or asset management firm