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Compliance Analyst - Asset Management firm

JR United Kingdom

Nottingham

On-site

GBP 38,000 - 50,000

Full time

4 days ago
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Job summary

A leading asset management firm is seeking a Compliance Analyst to support compliance activities including reviews, monitoring, and regulatory submissions. Candidates should have a minimum of two years' compliance experience in the asset management sector. This role involves advising staff, maintaining compliance registers, and managing conflicts of interest, ensuring adherence to regulations.

Qualifications

  • At least 2 years' generalist compliance experience in a fund or Asset Management firm.

Responsibilities

  • Support compliance reviews and approvals for financial promotions and marketing materials.
  • Monitor regulatory developments and keep abreast of changes.
  • Advise staff on compliance matters.

Skills

Compliance monitoring
Financial promotions approval
Regulatory developments knowledge

Job description

Compliance Analyst

Asset Management firm

Location: Nottingham, United Kingdom

Job Description:
  • 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 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.
  • Assist with compliance-led projects.
  • Manage employee conflicts of interest.
Requirements:
  • At least 2 years' generalist compliance experience in a fund or Asset Management firm.
Additional Information:

EU work permit required: Yes

Posted on: 04.06.2025

Expiry Date: 19.07.2025

Job Views: 2

Location: Nottingham, United Kingdom

Client: Robert Half

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