Compliance Analyst - Asset Management firm

JR United Kingdom; Northampton; On-site; GBP 40,000 - 55,000; Full time

Job summary

A leading asset management firm is seeking a Compliance Analyst in Northampton to support compliance reviews, monitor regulatory developments, and manage conflicts of interest. The role requires at least 2 years of compliance experience within a fund or asset management setting, offering a competitive salary and opportunities for growth.

Qualifications

• Minimum 2 years compliance experience in asset management.
• Strong understanding of financial promotions and market abuse.
• Ability to maintain compliance registers and submit reports.

Responsibilities

• Support compliance reviews and approvals for marketing materials.
• Perform daily monitoring of client investment restrictions.
• Advise staff on compliance matters and monitor regulatory developments.

Skills

Compliance Monitoring

Regulatory Awareness

Collaboration

Attention to Detail

Job description

Compliance Analyst

Asset Management firm

Location: Northampton, United Kingdom

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 and stay updated on regulatory developments.
• Support compliance-led projects.
• Manage employee conflicts of interest.

Requirements:

• At least 2 years of generalist compliance experience in a fund or asset management firm.

Additional Information:

EU work permit required: Yes

Job Views: 2

Posted: 04.06.2025

Expiry Date: 19.07.2025