Compliance Analyst - Asset Management firm, Stoke-on-Trent
Client:
Robert Half
Location:
Stoke-on-Trent, 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
* Location: Stoke-on-Trent, UK
* Responsibilities:
o Support compliance reviews and approvals for financial promotions and marketing materials
o Assist in implementing the Compliance Monitoring plan and perform monitoring in areas such as best execution and market abuse
o Collaborate with the compliance team on policies, procedures, and issues
o Conduct daily monitoring of client investment restrictions
o Maintain and update compliance registers
o Assist with periodic compliance reports and regulatory submissions
o Advise staff on compliance matters
o Monitor regulatory developments
o Support compliance-led projects
o Manage employee conflicts of interest
Requirements:
* Minimum of 2 years' generalist compliance experience in a fund or Asset Management firm
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