Compliance, Asset Management Compliance, Analyst, Birmingham

Overview

As part of the Asset Management Compliance team in Birmingham, you will advise on sales and marketing activities to ensure compliance with financial promotion rules and jurisdictional limits. You will collaborate with business partners, Legal and Compliance colleagues to handle regulatory requests, enhance the program amid reforms, and support policies, training, and investigations. The role includes reviewing marketing materials, conducting surveillance and forensic reviews, and delivering trainings to strengthen regulatory posture. You will contribute to shaping a proactive compliance program within a globally active financial services firm. This is an opportunity to apply analytical rigor

Responsibilities

• Review and approve financial promotions
• Support the forensic program with ad hoc and programmatic reviews, escalate and log findings, prepare policy reminders
• Provide Compliance support and representation on strategic initiatives
• Participate in regulatory identification and implementation projects
• Develop and implement Compliance policies and procedures
• Preparing and delivering Compliance training
• Assisting in responding to regulatory inquiries and investigations
• Miscellaneous projects as required

Key requirements

• Demonstrated interest in financial markets, asset management and managing conduct risk
• Strong analytical, organizational, researching and fact-gathering skills
• Self-motivated, able to learn quickly and work under pressure
• Ability to summarize, communicate and defend positions
• Proactive team player with collaborative attitude across teams and disciplines
• Effective interpersonal and communication skills; outgoing, persuasive and courteous

• interpersonal communication
• collaboration
• persuasiveness
• courtesy
• initiative
• adaptability

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