Compliance Analyst
Asset Management firm
Location: Newcastle-upon-Tyne, Tyne and Wear, United Kingdom
Job Description:
The Compliance Analyst will support the compliance department in various tasks including reviews, monitoring, and regulatory reporting. Responsibilities include:
* Supporting compliance reviews and approvals for financial promotions and marketing materials.
* Implementing the Compliance Monitoring plan and performing monitoring activities such as best execution and market abuse.
* Collaborating on policies, procedures, and compliance issues with team members.
* Performing daily monitoring of client investment restrictions.
* Maintaining and updating compliance registers.
* Assisting with regulatory submissions and periodic compliance reports.
* Advising staff on compliance matters.
* Monitoring regulatory developments.
* Assisting on compliance-led projects.
* Managing employee conflicts of interest.
Requirements:
* At least 2 years of generalist compliance experience gained in a fund or asset management firm.
Additional Details:
Location: Newcastle-upon-Tyne, UK
EU work permit required: Yes
Job Views: 2
Posted: 04.06.2025
Expiry Date: 19.07.2025
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