[ref. k67635801] Compliance Analyst - Asset Management firm
London
Compliance Analyst
Asset Management firm
London
£40K-£45K
The duties:
- Support compliance reviews and approvals for financial promotions and marketing materials
- Supporting the Compliance department in implementing the Compliance Monitoring plan and performing monitoring in various areas including best execution and market abuse
- Collaborate with other members of the compliance team on policies, procedures and compliance issues
- Perform daily monitoring of client investment restrictions
- Maintain and update compliance registers,
- Assist in completing and submitting periodic compliance returns and reports including regulatory submissions
- Advising staff on compliance matters
- Monitor and keep abreast of regulatory developments
- Assist on compliance-led project
- Employee conflicts of interest
The requirements
At least 2 years' generalist compliance experience gained in a fund or Asset Manager
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