Compliance Analyst - Asset Management firm

JR United Kingdom; Stoke-on-Trent; On-site; GBP 35,000 - 50,000; Full time

Job summary

A leading asset management firm based in Stoke-on-Trent is seeking a Compliance Analyst to contribute to their compliance team. The role involves supporting compliance reviews, conducting monitoring, and advising staff on compliance matters. This position is ideal for candidates with at least two years of experience in a similar environment, who are looking for a challenging opportunity in a reputable organization.

Qualifications

• Minimum of 2 years' experience in compliance at a fund or Asset Management firm.

Responsibilities

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

Skills

Compliance experience

Regulatory knowledge

Attention to detail

Job description

Compliance Analyst - Asset Management firm, Stoke-on-Trent

Client:

Robert Half

Location:

Stoke-on-Trent, United Kingdom

Job Category:

Other

EU work permit required:

Yes

Job Views:

2

Posted:

04.06.2025

Expiry Date:

19.07.2025

Job Description:

• Role: Compliance Analyst at an Asset Management firm
• Location: Stoke-on-Trent, UK
• Responsibilities:
  • 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
  • Conduct daily monitoring of client investment restrictions
  • Maintain and update compliance registers
  • Assist with periodic compliance reports and regulatory submissions
  • Advise staff on compliance matters
  • Monitor regulatory developments
  • Support compliance-led projects
  • Manage employee conflicts of interest

Requirements:

• Minimum of 2 years' generalist compliance experience in a fund or Asset Management firm