Compliance Analyst - Asset Management firm

JR United Kingdom; Nottingham; On-site; GBP 38,000 - 50,000; Full time

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