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Compliance Analyst - Asset Management firm, Liverpool
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Client:
Robert Half
Location:
Liverpool, United Kingdom
Job Category:
Other
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EU work permit required:
Yes
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Job Views:
2
Posted:
04.06.2025
Expiry Date:
19.07.2025
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Job Description:
Compliance Analyst
Asset Management firm
Location: Liverpool
The duties include:
* Supporting compliance reviews and approvals for financial promotions and marketing materials
* Supporting the Compliance department in implementing the Compliance Monitoring plan and performing monitoring in areas such as best execution and market abuse
* Collaborating with other compliance team members on policies, procedures, and issues
* Performing daily monitoring of client investment restrictions
* Maintaining and updating compliance registers
* Assisting in completing and submitting periodic compliance reports and regulatory submissions
* Advising staff on compliance matters
* Monitoring and staying updated on regulatory developments
* Supporting compliance-led projects
* Managing employee conflicts of interest
The requirements:
* Minimum of 2 years' generalist compliance experience in a fund or asset management firm
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