Compliance Analyst - Asset Management firm

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

Job summary

A leading firm in asset management is seeking a Compliance Analyst in London to oversee compliance activities and support regulatory submissions. The ideal candidate will have at least two years of experience in compliance, focusing on monitoring client investment restrictions and advising staff on compliance matters.

Qualifications

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

Responsibilities

• Support compliance reviews and approvals for financial promotions.
• Implement monitoring plans and perform monitoring activities.
• Collaborate on policies and procedures.

Skills

Compliance Monitoring

Regulatory Submissions

Market Abuse Analysis

Job description

Compliance Analyst - Asset Management firm, London

Robert Half is recruiting for a Compliance Analyst at an Asset Management firm in London.

Job Details

• Location: London
• Client: Robert Half
• Job Category: Other
• EU work permit required: Yes
• Job Views: 2
• Posted: 04.06.2025
• Expiry Date: 19.07.2025

Job Description

The Compliance Analyst will support the compliance reviews and approvals for financial promotions and marketing materials. Responsibilities include supporting the compliance department in implementing monitoring plans, performing monitoring activities such as best execution and market abuse, collaborating on policies and procedures, daily monitoring of client investment restrictions, maintaining compliance registers, assisting with regulatory submissions, advising staff on compliance matters, monitoring regulatory developments, and assisting on compliance-led projects and conflicts of interest management.

Requirements

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