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Compliance Analyst - Asset Management firm, Watford, Hertfordshire
Client: Robert Half
Location: Watford, Hertfordshire, United Kingdom
Job Category: Other
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EU work permit required: Yes
Job Views:
2
Posted:
04.06.2025
Expiry Date:
19.07.2025
Job Description:
Compliance Analyst
Asset Management firm
Location: Watford, Hertfordshire
The duties include:
* Support compliance reviews and approvals for financial promotions and marketing materials
* Support the Compliance department in implementing the Compliance Monitoring plan and perform 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
* Advise staff on compliance matters
* Monitor and stay updated on regulatory developments
* Assist with compliance-led projects
* Manage employee conflicts of interest
The requirements:
* At least 2 years' generalist compliance experience gained in a fund or Asset Manager
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