Compliance Analyst - Asset Management

Robert Half Limited
London (Greater)
12 Jan 2018
14 Feb 2018
Contract Type
Full Time
Compliance Analyst - Compliance Assistant

London - City


Company - Asset Management

Primary Responsibilities:

1 Perform monthly compliance monitoring to assess the adequacy of the Firm's compliance with applicable regulations
2 Review 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 policies
3 Periodically assist with the review and update of the Firm's policies and procedures
4 Assist with the development and distribution of training programmes and ensuring that adequate training records are kept
5 Assist with project work as required


1 Graduate (undergraduate degree or equivalent)
2 Proven UK financial services compliance experience (2-3yrs); preferably with prior compliance testing/monitoring experience
3 Knowledge and awareness of UK and International marketing regulatory environment within the asset management industry, including cross border rules and requirements
4 Institutional financial promotion experience
5 Good attention to detail
6 Good analytical skills
7 Good Excel, Word, PowerPoint skills
8 Strong interpersonal skills

Desirable Skills / Knowledge:

1 Working knowledge of fund structures across multiple jurisdictions, including UK, Luxembourg, Ireland and US
2 Ability to liaise with different stakeholders within a firm including senior members
3 Ability to work independently to complete tasks in a timely manner
4 Ability 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: https://[URL removed]
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