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