Compliance Analyst - Asset Management firm

JR United Kingdom; Preston; On-site; GBP 35,000 - 50,000; Full time

Job summary

A leading asset management firm is seeking a Compliance Analyst in Preston. The successful candidate will support various compliance functions, including reviews and monitoring, while ensuring adherence to regulatory standards. This role requires at least 2 years of compliance experience, offering further development in a dynamic environment.

Qualifications

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

Responsibilities

• Support compliance reviews and approvals for financial promotions.
• Collaborate with compliance team on policies and monitoring.
• Advise staff on compliance matters.

Skills

Compliance reviews

Monitoring

Regulatory submissions

Job description

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Compliance Analyst - Asset Management firm, Preston, Lancashire

Client:

Robert Half

Location:

Preston, Lancashire, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

Job Views:

2

Posted:

04.06.2025

Expiry Date:

19.07.2025

Job Description:

Compliance Analyst

Asset Management firm

London

The duties:

• 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 compliance issues
• Perform daily monitoring of client investment restrictions
• Maintain and update compliance registers
• Assist in completing and submitting periodic compliance returns and reports, including regulatory submissions
• Advise staff on compliance matters
• Monitor and stay updated on regulatory developments
• Assist on compliance-led projects
• Manage employee conflicts of interest

The requirements

• At least 2 years' generalist compliance experience gained in a fund or Asset Manager