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Job Specification

Compliance Analyst – 3 to 5 years Asset Management Compliance Experience Required

£60K - £75K + Bonus & Benefits | London
Ref: 3482J

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

Our Client, a niche Collective Portfolio Investment Management Firm, is looking for a Compliance Analyst to join their team. The main duties are as follows:
• Arrange ad hoc and quarterly meetings with the Appointed Representatives to ensure compliance with policies and procedures
• Prepare monitoring documentation for Appointed Representatives
• Conduct ongoing reviews and updates of the Compliance manual and other policies with reference to the requirements arising from MiFID2 and GDPR
• Provide commentary on marketing materials submitted for approval
• Assist in the preparation of FCA marketing notifications for Approved Representatives to undertake marketing activities in European countries
• Preparation of quarterly compliance reports for the board
The ideal candidate should have three to five years compliance experience from a similar firm.  Previous experience of Appointed Representatives would be beneficial, but more important is your ability to communicate at all levels of the business.
For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him at

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