Compliance Analyst - Asset Management firm

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

Job summary

An asset management firm seeks a Compliance Analyst to support compliance reviews and ensure adherence to regulatory standards. The role involves monitoring compliance protocols, collaborating with teams on policies, and advising staff on compliance matters. Successful candidates will have at least 2 years of relevant experience in a fund or asset management setting.

Qualifications

• At least 2 years of generalist compliance experience in fund or asset management.

Responsibilities

• Support compliance reviews and approvals for financial promotions.
• Assist in implementing the Compliance Monitoring plan.
• Collaborate on compliance policies and procedures.

Skills

Compliance Monitoring

Regulatory Knowledge

Attention to Detail

Job description

Compliance Analyst

Asset Management firm

Location: London

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 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 regulatory reports.
• Advise staff on compliance matters.
• Monitor and stay updated on regulatory developments.
• Assist with compliance-led projects.
• Manage employee conflicts of interest.

Requirements:

• At least 2 years of generalist compliance experience gained in a fund or asset management firm.