Compliance Analyst
Asset Management firm
Location: Chester, United Kingdom
Job Responsibilities:
1. Support compliance reviews and approvals for financial promotions and marketing materials.
2. Assist in implementing the Compliance Monitoring plan and perform monitoring in areas such as best execution and market abuse.
3. Collaborate with the compliance team on policies, procedures, and issues.
4. Conduct daily monitoring of client investment restrictions.
5. Maintain and update compliance registers.
6. Complete and submit periodic compliance reports and regulatory submissions.
7. Advise staff on compliance matters.
8. Stay informed about regulatory developments.
9. Assist with compliance-led projects.
10. Manage employee conflicts of interest.
Requirements:
* At least 2 years of generalist compliance experience in a fund or Asset Management firm.
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