Compliance Analyst
Asset Management firm
Location: London
Job Description:
* Support compliance reviews and approvals for financial promotions and marketing materials.
* Assist the Compliance department in implementing the Compliance Monitoring plan and perform monitoring in areas such as best execution and market abuse.
* Collaborate with team members 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 regulatory reports.
* Advise staff on compliance matters.
* Monitor and stay updated on regulatory developments.
* Participate in compliance-led projects.
* Manage employee conflicts of interest.
Requirements:
* At least 2 years' generalist compliance experience in a fund or Asset Manager.
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