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Compliance Monitoring Analyst

  • Location: London
  • Salary: Up to £65,000
  • Job type: Permanent
  • Job reference: NC/171086
  • Sector: Asset Management/Funds
Job Description


I'm continuing to work with a large Asset Manager who are looking to make another addition to their Compliance Monitoring team. Responsibilities will include;

  • Monitoring Client Money, Remuneration, Client Reporting, Investment Research & Risk
  • Producing Compliance Monitoring reports outlining findings
  • Informing management of issues arising from findings
  • Assist the Head of Compliance Monitoring in re-assessing the Compliance Monitoring Plan
  • Resolving compliance matters and providing solutions
  • Reviewing and approving Financial Promotions
  • DDQs and client questionnaires


The ideal candidate will have 4 or 5 years’ experience conducting regulatory compliance thematic reviews, monitoring client money, remuneration and client reporting as well as good communication skills and the ability to work with and influence stakeholders.


The salary will be in the region of £65,000 plus a discretionary bonus and benefits.


For more information please contact Nathan Coomber on or submit your CV for consideration.

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