Portfolio Compliance Analyst - Asset Management

Michael Page; City Of London; Hybrid; GBP 42,000 - 50,000; Full time

Job summary

A UK asset management firm is seeking a junior or mid-level Portfolio Compliance Analyst to join its expanding Compliance function. Responsibilities include reviewing financial promotions, conducting compliance inductions, and participating in regulatory training. The role offers a 50k base salary and hybrid working options, requiring significant experience with UK regulations and investment compliance.

Benefits

Company benefits

Hybrid working

Qualifications

• Demonstrable senior investment compliance experience.
• Experience of regulations for retail client communications.
• Understanding of regulatory requirements affecting UK asset management.

Responsibilities

• Review and sign-off of investment financial promotions.
• Attend Investment Risk meetings and record minutes.
• Conduct compliance inductions and deliver training.
• Participate in SMCR oversight.
• Work with business to implement compliant solutions.
• Improve processes to mitigate regulatory risk.

Skills

Investment compliance experience

Understanding of UK regulations

Regulatory training delivery

Procedure review

Job description

New opportunity for a junior or mid-level Portfolio Compliance Analyst to join an expanding Compliance function.

Report and work closely with the Head of Compliance & Operational Risk.

Client Details

UK Asset Manager.

Description

• Review and sign-off of investment financial promotions and related materials, including review of associated procedures.
• Attendance at the Investment Risk meetings and Compliance governance committees, including assembly of the pack and recording the minutes.
• Conduct new joiner compliance inductions and deliver regulatory training where required.
• Participation in SMCR oversight, including training and competence oversight (for Investments, Funds, Research, Business Development and Dealing teams).
• Awareness of new regulatory requirements and working with the business to develop and implement compliant solutions.
• Work in partnership with the business to improve processes and procedures to mitigate regulatory risk.

Profile

• Demonstrable senior investment compliance experience.
• Significant experience of the regulations pertaining to retail client communications.
• Excellent knowledge and understanding of regulatory requirements affecting a UK asset management and wealth management business.

Job Offer

50k base salary.

Company benefits.

Hybrid working.