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Job Specification


£50K-£55K + Bonus + Bens | London - West End
Ref: 3792R

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


Our Client, a leading Asset Management Firm, is looking for a compliance analyst to join their guideline monitoring team. Duties will include; 

  • Monitor investment activity on a pre and post trade basis to ensure compliance with client guidelines, regulatory rules, prospectuses, and policies and procedures both on an automated and manual basis. 
  • Assist with the delivery of the main compliance monitoring programme. 
  • Provide regulatory advice and guidance to the business as required on existing regulations and changes to regulations, assisting with project and implementation plans as required. 
  • Work closely with Portfolio Management, Trading, and Operations to manage trade day alerts  
  • Prepare client certification and Board Reports as required. 
  • Assist in on-boarding and compliance setup for new accounts as needed. 
  • Respond to ad hoc requests regarding trading and fund information. 


The successful candidate must have a minimum of two years’ experience of guideline monitoring, whether gained in Compliance or Operations. Great opportunity to use current specialist knowledge to gain broader compliance experience to help progress your career.  

For further information or a confidential no obligation discussion, please feel free to call David Crook on 020 7330 6963 or send your details to him at  


Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.   

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge. 

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