Compliance Associate | Investment Management

Compliance Associate

We are seeking a talented Compliance Analyst/ Associate (title dependent on experience) to join this well-established investment management firm, supporting a small high-performing Compliance team and working closely with Legal to ensure ongoing regulatory alignment and operational integrity.

Reporting to the Chief Compliance Officer, this is an opportunity offering broad exposure across the business, hands-on involvement in day-to-day compliance activities, and significant participation in systems and project work aimed at improving compliance processes.

The role will suit a bright, proactive and detail-oriented compliance professional with 2-4 years' experience looking to take the next step in their career.

Key Responsibilities

• Conduct best execution and market abuse surveillance, liaising with Front Office teams to understand trade rationale and strategy.
• Provide first-line regulatory and compliance advice to employees across the business.
• Review financial promotions and marketing materials to ensure regulatory compliance.
• Manage broker wall-crossing requests and apply MNPI-related trading restrictions.
• Oversee the application of restrictions related to sanctions, ESG obligations, and other contractual limitations.
• Maintain timely regulatory filings, disclosures, and registrations.
• Carry out core compliance functions including KYC/CDD, personal account dealing, monitoring for staff conflicts of interest, and regulated individual communications oversight.
• Lead and support compliance projects to enhance systems, procedures, and team efficiency.
• Proactively identify areas for process improvement and suggest pragmatic solutions.

About You

• 2–4 years of regulatory experience from an asset manager, private markets firm or consultancy, we could potentially consider someone from an investment bank as well.
• Educated to degree level (2:1 or higher), preferably in finance, law, or a related discipline.
• Strong risk awareness and understanding of regulatory frameworks.
• Highly analytical and detail-oriented with a critical mindset and investigative approach.
• Strong sense of ownership, with the ability to work independently and meet tight deadlines.
• Interest in financial markets and investment management; familiarity with credit instruments a plus.
• Effective multitasker with excellent communication and interpersonal skills.