Compliance Analyst - Asset Management firm

JR United Kingdom; Milton Keynes; On-site; GBP 40,000 - 65,000; Full time

Job summary

A leading asset management firm seeks a Compliance Analyst to join their team in London. The successful candidate will oversee compliance reviews, monitor regulations, and collaborate on compliance policies, ensuring adherence to best practices. This pivotal role involves supporting compliance projects and advising staff, making a real impact in the organization.

Qualifications

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

Responsibilities

• Support compliance reviews and approvals for financial promotions.
• Maintain compliance registers and monitor client investment restrictions.
• Advise staff on compliance matters and support compliance-led projects.

Skills

Compliance

Monitoring

Regulatory Developments

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 reports and regulatory submissions.
• Advise staff on compliance matters.
• Monitor regulatory developments and keep abreast of changes.
• Support compliance-led projects.
• Manage employee conflicts of interest.

Requirements:

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