Compliance Analyst - Asset Management firm

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

Job summary

A leading Asset Management firm is seeking a Compliance Analyst based in Worcester. The successful candidate will support compliance reviews, assist with monitoring plans, and advise on compliance matters. This position requires at least 2 years of compliance experience in the financial industry.

Qualifications

• At least 2 years of generalist compliance experience in a fund or Asset Management firm.

Responsibilities

• Support compliance reviews and approvals for financial promotions and marketing materials.
• Assist the Compliance department in implementing the Compliance Monitoring plan.
• Collaborate with team members on policies, procedures, and compliance issues.
• Perform daily monitoring of client investment restrictions.
• Maintain and update compliance registers.
• Advise staff on compliance matters.

Job description

Compliance Analyst

Asset Management firm

Location: Worcester, 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 informed of regulatory developments.
• Support 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:

• EU work permit required: Yes
• Job Views: 2
• Posted: 04.06.2025
• Expiry Date: 19.07.2025