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Compliance Senior Analyst - Advisory

  • Location: London
  • Salary: £55,000 - £65,000
  • Job type: Permanent
  • Job reference: NC/171073
  • Sector: Asset Management/Funds
Job Description


I am working with a US headquartered Investment Management company who are looking to make an addition to their UK and European Compliance team here in London.

The role will sit within the Compliance Advisory team and will focus on these 5 key areas;

  • Regulatory Change - creating and reviewing policies, reviewing consultation papers etc
  • Compliance Advice - To any business area. Advising on investment suitability for e.g.
  • Oversight of Financial Promotions, Marketing functions and Client Communications
  • Oversight of Complaints function - Investigations are carried out by the US teams
  • Regulatory reporting - Twice a year

This is a great opportunity to join an expanding UK & Europe-focused Compliance team and be a part of the firm’s growth in this region. Due to the size of the UK team, they are looking for certain attributes in the ideal candidate, such as;

  • Working collaboratively and embracing teamwork
  • A good understanding of the rules and regulations
  • Gravitas, to be able to back up your points when facing off the business
  • Compliance Advisory / Reg Change background in either Wealth Management or Asset Management

The salary is likely to be in the region of £55,000 - £65,000 dependent on experience. There will also be a bonus and benefits too.

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


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