Compliance Analyst - Asset Management firm

JR United Kingdom; Warrington; On-site; GBP 40,000 - 60,000; Full time

Job summary

Une entreprise de gestion d'actifs basée à Warrington recherche un Analyste de Conformité. Ce rôle impliquera des revues de conformité et le soutien au département de conformité pour assurer les exigences réglementaires, tout en travaillant en étroite collaboration avec les équipes internes. Une expérience préalable dans un environnement de fonds ou de gestion d'actifs est requise.

Qualifications

• Experience de 2 ans en conformité obtenue dans un fonds ou un gestionnaire d'actifs.

Responsibilities

• Support des examens de conformité et des approbations des promotions financières.
• Collaborer sur des politiques et procédures de conformité.
• Suivre les développements réglementaires.

Skills

Compliance Review

Regulatory Monitoring

Policy Collaboration

Client Investment Monitoring

Conflict Management

Job description

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Compliance Analyst - Asset Management firm, Warrington, Cheshire

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Client:

Robert Half

Location:

Warrington, Cheshire

Job Category:

Other

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EU work permit required:

Yes

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Job Views:

2

Posted:

04.06.2025

Expiry Date:

19.07.2025

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Job Description:

Compliance Analyst

Asset Management firm

Warrington

The duties:

• Support compliance reviews and approvals for financial promotions and marketing materials
• Support the Compliance department in implementing the Compliance Monitoring plan and performing monitoring in areas including best execution and market abuse
• Collaborate with other compliance 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 returns and reports, including regulatory submissions
• Advise staff on compliance matters
• Monitor and stay updated on regulatory developments
• Assist with compliance-led projects
• Manage employee conflicts of interest

The requirements

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