Compliance Analyst
Asset Management firm
London
£40K-£45K
The duties:
1. Support compliance reviews and approvals for financial promotions and marketing materials
2. Supporting the Compliance department in implementing the Compliance Monitoring plan and performing monitoring in various areas including best execution and market abuse
3. Collaborate with other members of the compliance team on policies, procedures and compliance issues
4. Perform daily monitoring of client investment restrictions
5. Maintain and update compliance registers,
6. Assist in completing and submitting periodic compliance returns and reports including regulatory submissions
7. Advising staff on compliance matters
8. Monitor and keep abreast of regulatory developments
9. Assist on compliance-led project
10. Employee conflicts of interest
The requirements
At least 2 years' generalist compliance experience gained in a fund or Asset Manager
Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to diversity, equity and inclusion. Suitable candidates with equivalent qualifications and more or less experience can apply. Rates of pay and salary ranges are dependent upon your experience, qualifications and training.