Compliance Analyst - Asset Management firm

JR United Kingdom; Reading; On-site; GBP 35,000 - 55,000; Full time

Job summary

A leading Asset Management firm is seeking a Compliance Analyst to ensure adherence to standards and regulations. The successful candidate will support compliance reviews, monitor client investments, and manage internal controls. This role is critical in maintaining integrity and compliance within the firm and is set in a dynamic environment in Reading, United Kingdom.

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.
• Assist the Compliance department in implementing the Compliance Monitoring plan.
• Advise staff on compliance matters.

Skills

Compliance knowledge

Regulatory monitoring

Analytical skills

Collaboration

Attention to detail

Job description

Compliance Analyst

Asset Management firm

Location: London, 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, including 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 the team informed.
• Support compliance-led projects.
• Manage employee conflicts of interest.

Requirements:

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

Additional Details:

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