Compliance Analyst
An exceptional opportunity for a proactive and detail-oriented Compliance Monitoring Analyst to join a dynamic Compliance team within a leading investment management environment. This role plays a pivotal part in maintaining high standards of regulatory integrity across the business.
The Role
The successful candidate will oversee the review and approval of financial promotions and external communications, ensuring all materials meet FCA requirements and internal policies. They will also support the ongoing delivery of the Compliance Monitoring Programme, contributing to governance, reporting, thematic reviews, and regulatory updates. The position offers significant scope to broaden regulatory knowledge and gain hands-on experience across the full compliance lifecycle.
Key Responsibilities
* Review and approve marketing and client communications to ensure clarity, accuracy, and regulatory compliance.
* Collaborate with teams across the business, particularly Marketing and Product, to embed compliance within promotional strategies.
* Maintain accurate compliance records and support process improvements, including the use of AI tools.
* Contribute to monitoring activity, policy reviews, and regulatory horizon scanning.
* Provide guidance on day-to-day compliance matters and assist in maintaining a robust compliance culture.
Experience and Skills
* Experience in a Compliance function within an FCA‑regulated investment management firm.
* Strong understanding of FCA financial promotion rules and compliance frameworks.
* Skilled in compliance monitoring, thematic reviews, and regulatory analysis.
* Highly organised with excellent attention to detail, time management, and stakeholder engagement.