Asset Management - Compliance Analyst

Eames Consulting Group
11 Feb 2017
11 Mar 2017
Contract Type
Full Time

Asset Management - Compliance Manager

Opportunity to join a successful and growing Asset Manager with over £1bn AUM and take the lead on all day to day compliance activities while also being fully involved in strategic actions around regulatory change projects.

Working with a small firm this is a chance to see all areas of Compliance as the company continues to grow, both organically and potentially through acquisitions.


The role will include but is not limited to:

  • Development of Compliance Monitoring plan and execution of reviews, including follow-ups
  • Approval of financial promotions
  • Carry out required product oversight for all regulated funds
  • Assistance with the preparation of quarterly compliance reports
  • Organisation of on-going compliance training (provided by third party)
  • Keep up to date with regulatory changes and assess the impact of these on the business - feeding this back to Board and agreeing required actions
  • Provide advice around AML issues and particular client cases
  • Manage third party reviews of the business - Regulators, OEIC manager etc.
  • Various ad-hoc projects (MiFID II)


  • Knowledge of regulations pertaining to the private client asset management industry is essential
  • Minimum of two years’ experience in compliance
  • Must be a strong communicator (both written and oral) and able to work directly with Board level stakeholders
  • Must be flexible in terms of tasks - this is a small office and there will be the need to assist on individual issues regularly

In return there is a very attractive package and plenty of opportunity to develop a thorough understanding of all key compliance issues within the Asset Management arena, as well as growth within the role.