Compliance Analyst - Asset Management firm, Guildford
Client:
Robert Half
Location:
Guildford, United Kingdom
Job Category:
Other
EU work permit required:
Yes
Job Views:
2
Posted:
04.06.2025
Expiry Date:
19.07.2025
Job Description:
Compliance Analyst
Asset Management firm
Guildford
The duties include:
* Supporting compliance reviews and approvals for financial promotions and marketing materials
* Assisting the Compliance department in implementing the Compliance Monitoring plan and performing monitoring in areas such as best execution and market abuse
* Collaborating with team members on policies, procedures, and compliance issues
* Performing daily monitoring of client investment restrictions
* Maintaining and updating compliance registers
* Completing and submitting periodic compliance reports and regulatory submissions
* Advising staff on compliance matters
* Monitoring regulatory developments
* Supporting compliance-led projects
* Managing employee conflicts of interest
Requirements:
* At least 2 years of generalist compliance experience gained in a fund or asset management firm
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