Compliance Analyst - Asset Management firm, High Wycombe
Client: Robert Half
Location: High Wycombe, United Kingdom
Job Category: Other
EU work permit required: Yes
Job Details
Job Views: 2
Posted: 04.06.2025
Expiry Date: 19.07.2025
Job Description:
* Compliance Analyst
* Asset Management firm
* Location: High Wycombe
* 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 such as 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 reports and regulatory submissions
* Advising staff on compliance matters
* Monitoring regulatory developments
* Assisting on compliance-led projects
* Managing employee conflicts of interest
Requirements:
* At least 2 years' generalist compliance experience in a fund or asset management firm
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