Compliance Associate | Investment Management

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

Job summary

A leading investment management firm in London is seeking a Compliance Associate to join their high-performing Compliance team. This role offers broad exposure across the business and involvement in compliance activities aimed at ensuring regulatory alignment. Ideal candidates will have 2-4 years of regulatory experience and a degree in finance or law. Strong analytical skills and effective communication are essential.

Qualifications

• 2–4 years of regulatory experience from an asset manager or consultancy.
• Educated to degree level (2:1 or higher) in finance, law, or related discipline.

Responsibilities

• Conduct best execution and market abuse surveillance.
• Provide first-line regulatory and compliance advice.
• Maintain timely regulatory filings and disclosures.

Skills

Regulatory Compliance

Analytical Skills

Communication

Education

Degree in Finance

Degree in Law

Job description

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Compliance Associate | Investment Management, London

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Client:

Location:

London, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Views:

4

Posted:

12.05.2025

Expiry Date:

26.06.2025

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Job Description:

Compliance Associate

We are seeking a talented Compliance Analyst/ Associate (title dependent on experience) to join this well-established investment management firm, supporting a small high-performing Compliance team and working closely with Legal to ensure ongoing regulatory alignment and operational integrity.

Reporting to the Chief Compliance Officer, this is an opportunity offering broad exposure across the business, hands-on involvement in day-to-day compliance activities, and significant participation in systems and project work aimed at improving compliance processes.

The role will suit a bright, proactive, and detail-oriented compliance professional with 2-4 years' experience looking to take the next step in their career.

Key Responsibilities

• Conduct best execution and market abuse surveillance, liaising with Front Office teams to understand trade rationale and strategy.
• Provide first-line regulatory and compliance advice to employees across the business.
• Review financial promotions and marketing materials to ensure regulatory compliance.
• Manage broker wall-crossing requests and apply MNPI-related trading restrictions.
• Oversee the application of restrictions related to sanctions, ESG obligations, and other contractual limitations.
• Maintain timely regulatory filings, disclosures, and registrations.
• Carry out core compliance functions including KYC/CDD, personal account dealing, monitoring for staff conflicts of interest, and regulated individual communications oversight.
• Lead and support compliance projects to enhance systems, procedures, and team efficiency.
• Proactively identify areas for process improvement and suggest pragmatic solutions.

About You

• 2–4 years of regulatory experience from an asset manager, private markets firm, or consultancy; we could potentially consider someone from an investment bank as well.
• Educated to degree level (2:1 or higher), preferably in finance, law, or a related discipline.
• Strong risk awareness and understanding of regulatory frameworks.
• Highly analytical and detail-oriented with a critical mindset and investigative approach.
• Strong sense of ownership, with the ability to work independently and meet tight deadlines.
• Interest in financial markets and investment management; familiarity with credit instruments a plus.
• Effective multitasker with excellent communication and interpersonal skills.