Compliance Analyst
Asset Management firm
London
£40K-£45K
The duties:
* Support compliance reviews and approvals for financial promotions and marketing materials
* Supporting the Compliance department in implementing the Compliance Monitoring plan and performing monitoring in various areas including best execution and market abuse
* Collaborate with other members of the compliance team on policies, procedures and compliance issues
* Perform daily monitoring of client investment restrictions
* Maintain and update compliance registers,
* Assist in completing and submitting periodic compliance returns and reports including regulatory submissions
* Advising staff on compliance matters
* Monitor and keep abreast of regulatory developments
* Assist on compliance-led project
* Employee conflicts of interest
The requirements
* At least 2 years' generalist compliance experience gained in a fund or Asset Manager