Compliance Analyst - Asset Management firm

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

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