Compliance Analyst - Asset Management firm

JR United Kingdom; Oxford; On-site; GBP 40,000 - 60,000; Full time

Job summary

A leading asset management firm seeks a Compliance Analyst to support compliance reviews, regulatory reporting, and monitoring activities. The role requires at least 2 years of experience in compliance within the asset management sector, offering an opportunity to collaborate with a dedicated team and manage compliance-related projects.

Qualifications

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

Responsibilities

• Support compliance reviews and approvals for financial promotions and marketing materials.
• Perform daily monitoring of client investment restrictions.
• Assist in completing and submitting regulatory reports and returns.

Skills

Compliance Reviews

Regulatory Reporting

Monitoring

Financial Promotions

Conflict Management

Job description

Compliance Analyst

Asset Management Firm - Oxford District

Client:

Robert Half

Location:

Oxford District, United Kingdom

Job Category:

Other

EU Work Permit Required:

Yes

Job Views:

2

Posted:

04.06.2025

Expiry Date:

19.07.2025

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 other compliance team members on policies, procedures, and issues.
• Perform daily monitoring of client investment restrictions.
• Maintain and update compliance registers.
• Assist in completing and submitting regulatory reports and returns.
• Advise staff on compliance matters.
• Monitor and stay updated on regulatory developments.
• Assist with compliance-led projects.
• Manage employee conflicts of interest.

Requirements:

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