Compliance Analyst - Asset Management firm

JR United Kingdom; Portsmouth; On-site; GBP 30,000 - 45,000; Full time

Job summary

A leading asset management firm is looking for a Compliance Analyst in Portsmouth. The role involves supporting compliance reviews, monitoring client investment restrictions, and advising staff on compliance issues. Ideal candidates will have at least 2 years of generalist compliance experience in a fund or asset management setting.

Qualifications

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

Responsibilities

• Support compliance reviews and approvals for financial promotions.
• Perform daily monitoring of investment restrictions.
• Advise staff on compliance matters.

Skills

Compliance

Monitoring

Financial Promotions

Advising

Job description

Compliance Analyst

Asset Management firm

Location: Portsmouth, Hampshire, 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 regulatory developments and keep abreast of changes.
• Assist with compliance-led projects.
• Manage employee conflicts of interest.

Requirements:

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

Additional Details:

• Client: Robert Half
• Job Category: Other
• EU work permit required: Yes
• Job Views: 2
• Posted: 04.06.2025
• Expiry Date: 19.07.2025