Compliance Analyst - Asset Management firm

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

Job summary

A leading asset management company in Watford is seeking a Compliance Analyst to enhance its compliance framework. The ideal candidate will support compliance reviews, monitor regulatory developments, and collaborate closely with the compliance team to ensure adherence to industry regulations, bringing at least 2 years of relevant experience.

Qualifications

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

Responsibilities

• Support compliance reviews and approvals for financial promotions and marketing materials.
• Collaborate with compliance team on policies, procedures, and compliance issues.
• Perform daily monitoring of client investment restrictions.

Skills

Compliance reviews

Monitoring regulatory developments

Advising on compliance matters

Job description

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Compliance Analyst - Asset Management firm, Watford, Hertfordshire

Client: Robert Half

Location: Watford, Hertfordshire, United Kingdom

Job Category: Other

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EU work permit required: Yes

Job Views:

2

Posted:

04.06.2025

Expiry Date:

19.07.2025

Job Description:

Compliance Analyst

Asset Management firm

Location: Watford, Hertfordshire

The duties include:

• Support compliance reviews and approvals for financial promotions and marketing materials
• Support the Compliance department in implementing the Compliance Monitoring plan and perform monitoring in various areas including best execution and market abuse
• Collaborate with other members of the compliance team 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