Compliance Analyst - Asset Management firm, Glasgow
Client:
Robert Half
Location:
Glasgow, United Kingdom
Job Category:
Other
EU work permit required:
Yes
Job Views:
2
Posted:
04.06.2025
Expiry Date:
19.07.2025
Job Description:
* Role: Compliance Analyst at an Asset Management firm in Glasgow
* Responsibilities:
o Support compliance reviews and approvals for financial promotions and marketing materials
o Support the Compliance department in implementing the Compliance Monitoring plan and perform monitoring in areas including best execution and market abuse
o Collaborate with team members on policies, procedures, and compliance issues
o Perform daily monitoring of client investment restrictions
o Maintain and update compliance registers
o Assist in completing and submitting periodic compliance returns and regulatory reports
o Advise staff on compliance matters
o Monitor and stay updated on regulatory developments
o Assist with compliance-led projects
o Manage employee conflicts of interest
Requirements:
* At least 2 years' generalist compliance experience gained in a fund or Asset Manager
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