Compliance Analyst - Asset Management firm

JR United Kingdom; Stevenage; On-site; GBP 40,000 - 55,000; Full time

Job summary

A leading asset management firm is looking for a Compliance Analyst to support compliance reviews, assist with regulatory reports, and manage compliance-related projects. The ideal candidate will have at least 2 years of generalist compliance experience, preferably in a fund or asset management context.

Qualifications

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

Responsibilities

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

Skills

Compliance reviews

Monitoring regulatory developments

Advising staff

Managing conflicts of interest

Job description

Compliance Analyst

Asset Management firm

Location: Stevenage

Job Details

• Client: Robert Half
• 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.
• Assist in implementing the Compliance Monitoring plan and perform monitoring in areas such as best execution and market abuse.
• Collaborate with the compliance team 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 regulatory developments.
• Participate in compliance-led projects.
• Manage employee conflicts of interest.

Requirements

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