Compliance Analyst - Asset Management firm

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

Job summary

A leading asset management firm in Southampton is seeking a Compliance Analyst to enhance their compliance operations. This role involves supporting compliance reviews, conducting monitoring, advising on compliance matters, and participating in compliance projects. Ideal candidates will possess at least 2 years of compliance experience in the asset management sector and have a strong grasp of regulatory requirements.

Qualifications

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

Responsibilities

• Support compliance reviews and approvals for financial promotions.
• Assist in implementing the Compliance Monitoring plan.
• Monitor client investment restrictions.

Skills

Compliance monitoring

Regulatory knowledge

Analytical skills

Attention to detail

Job description

Compliance Analyst

Asset Management firm

Location: Southampton, 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 performing monitoring in areas such as best execution and market abuse.
• Collaborate with the compliance team 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 regulatory reports.
• Advise staff on compliance matters.
• Monitor and stay updated on regulatory developments.
• Participate in compliance-led projects.
• Handle employee conflicts of interest.

Requirements:

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

Additional Information:

EU work permit required: Yes

Job Views: 2

Posted: 04.06.2025

Expiry Date: 19.07.2025

Location: Southampton, United Kingdom