Compliance Analyst - Asset Management

Financial Services
London (Greater)
10 Jan 2018
09 Feb 2018
Contract Type
Full Time

Compliance Analyst - Compliance Assistant

London - City


Company - Asset Management

Primary Responsibilities:

Perform monthly compliance monitoring to assess the adequacy of the Firm's compliance with applicable regulationsReview all external client communications, including all financial promotions and cross border distribution material, and ensure compliance with applicable regulatory requirements and the Firm's own communications policiesPeriodically assist with the review and update of the Firm's policies and proceduresAssist with the development and distribution of training programmes and ensuring that adequate training records are keptAssist with project work as required


Graduate (undergraduate degree or equivalent)Proven UK financial services compliance experience (2-3yrs); preferably with prior compliance testing/monitoring experienceKnowledge and awareness of UK and International marketing regulatory environment within the asset management industry, including cross border rules and requirementsInstitutional financial promotion experienceGood attention to detailGood analytical skillsGood Excel, Word, PowerPoint skillsStrong interpersonal skills

Desirable Skills / Knowledge:

Working knowledge of fund structures across multiple jurisdictions, including UK, Luxembourg, Ireland and USAbility to liaise with different stakeholders within a firm including senior membersAbility to work independently to complete tasks in a timely mannerAbility to communicate complex rules/regulations in a clear manner

Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. By applying to this position, you acknowledge that you have read and accept the following terms:

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