Compliance Analyst
Asset Management firm
Location: Gloucester, United Kingdom
Responsibilities:
* Support compliance reviews and approvals for financial promotions and marketing materials.
* Assist in implementing the Compliance Monitoring plan and perform monitoring activities including best execution and market abuse.
* Collaborate with the compliance team on policies, procedures, and issues.
* Monitor daily client investment restrictions.
* Maintain and update compliance registers.
* Complete and submit periodic compliance reports and regulatory submissions.
* Advise staff on compliance matters.
* Stay informed on regulatory developments.
* Support compliance-led projects.
* Manage employee conflicts of interest.
Requirements:
* Minimum of 2 years' generalist compliance experience within a fund or Asset Management firm.
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