Compliance Analyst - Asset Management

The Compliance Analyst will support the Associate Director of Compliance in ensuring the firm adheres to all relevant regulatory requirements, including FCA rules and broader UK/EU financial regulations. This is a hands-on role suited to a proactive individual looking to deepen their experience in a dynamic and fast-paced environment.

Client Details

A boutique asset management firm based in Central London, specialising in bespoke investment strategies across equities, fixed income, and alternative assets. The firm prides itself on a collaborative culture, high-touch client service, and a strong commitment to regulatory integrity.

Description

• Conduct compliance monitoring and testing in line with the Compliance Monitoring Programme, ensuring issues are reported and remediated, and the programme is regularly reviewed for regulatory coverage.
• Manage conflicts of interest by reviewing, escalating, and recording them in accordance with internal policies and procedures.
• Responsible for reviewing, recording and approving day-to-day compliance requests such as: PA Dealing, Gifts and Benefits, outside business interests
• Support policy and procedure development, including drafting and reviewing documentation to ensure regulatory alignment.
• Foster strong internal and external relationships to promote a culture of continuous improvement and effective compliance collaboration.
• Oversee day-to-day compliance approvals, including personal account dealing, gifts and benefits, and outside business interests.
• Provide regulatory support, including KYC and sanctions screening, offering guidance to the business, and staying informed on regulatory developments.

Profile

• 2-3 years of compliance experience within an AIFM, with solid knowledge of AIFMD regulations.
• Working understanding of key regulatory frameworks, including MiFID II, UCITS, SMCR, and ideally private equity.
• Strong communication skills, both written and verbal, with the ability to manage expectations and engage effectively across teams.
• Proactive and organised, demonstrating initiative and ownership in administrative and compliance tasks.
• Analytical mindset with sound research skills, and a high-level understanding of risk in the asset management context.

Job Offer

• Competitive salary ranging from £45,000 to £50,000 per annum.
• Permanent position based in London.
• Opportunities for professional growth and development.
• A collaborative and professional working environment.
• Engagement in a key role within the Asset Management department.

If you are ready to take the next step in your compliance career within the Financial Services industry, apply now!