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Compliance Analyst - Asset Management

Broadgate Search
Closing date
23 Feb 2021

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Job Details

My client is a London-based boutique Asset Management firm. Due to organic growth they are looking to hire a Compliance Analyst to undertake a very generalist position

Responsibilities include, but not limited to:
  • Coordinating the completion of the Compliance Monitoring Plan.
  • Undertaking reviews (E.g. best execution, trade processing, transaction costs and fair allocation).
  • Providing feedback to senior stakeholders on the outcomes of compliance reviews.
  • Creating and amending policies and procedures.
  • Working directly with the Investment Team and Fund Accounting Team to ensure that their processes adhere to regulatory requirements.
  • Maintaining an up-to-date knowledge of the regulatory developments regarding our funds (AIFs and UCITS).
  • Reviewing financial promotions and client communication.
  • Assisting in the implementation of SM&CR.
  • Monitor pre/post trade compliance.
  • Creating the company Business Continuity Policy and monitoring its execution.


-At least 12months Regulatory Compliance experience within Asset Management
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