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Compliance Analyst - Asset Management firm

JR United Kingdom

Stockport

On-site

GBP 35,000 - 50,000

Full time

4 days ago
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Job summary

A leading asset management firm is seeking a Compliance Analyst to support the compliance department in regulatory monitoring and reviews. This role involves collaborating with team members, advising on compliance matters, and maintaining compliance registers within a dynamic environment in Stockport.

Qualifications

  • 2+ years of compliance experience in fund or asset management.
  • Ability to advise on compliance matters.
  • Familiarity with regulatory developments.

Responsibilities

  • Support compliance reviews for financial promotions.
  • Perform monitoring of client investment restrictions.
  • Assist in compliance project management.

Skills

Compliance reviews
Regulatory submissions
Monitoring regulations
Team collaboration

Job description

Compliance Analyst

Asset Management firm

Location: Stockport, 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 and stay updated on regulatory developments.
  • Participate in 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: Stockport, United Kingdom
  • Job Category: Other
  • EU work permit required: Yes
  • Job Views: 2
  • Posted: 04.06.2025
  • Expiry Date: 19.07.2025
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