Compliance Analyst - Asset Management firm, London
This role is based in London and requires an EU work permit. The position is with Robert Half, a client in the asset management sector.
Job Overview
We are seeking a Compliance Analyst to support our compliance department in various functions including monitoring, policy adherence, and regulatory reporting within an asset management firm.
Key Responsibilities
1. Support compliance reviews and approvals for financial promotions and marketing materials.
2. Assist in implementing and performing monitoring activities, including best execution and market abuse.
3. Collaborate on policies, procedures, and compliance issues with team members.
4. Conduct daily monitoring of client investment restrictions.
5. Maintain and update compliance registers.
6. Complete and submit periodic compliance reports and regulatory submissions.
7. Advise staff on compliance matters.
8. Monitor regulatory developments and keep the team informed.
9. Assist with compliance-led projects and manage employee conflicts of interest.
Requirements
* Minimum of 2 years' generalist compliance experience in a fund or asset management environment.
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