About this role
Compliance Analyst
Investment management firm
£38K-£40K + bonus
London - Hybrid working
Permanent role
The role
- Supporting and managing monthly, quarterly and annual compliance monitoring reviews.
- Report writing of monitoring reviews and the management of tracking actions until completion.
- Supporting and managing review of financial promotions and other marketing presentations and materials.
- Manage ongoing third-party due diligence requirements.
- Supporting and managing periodic FCA filings: FCA RegData (monthly/quarterly/annually); and FCA Connect (ad hoc)
- Assisting with SM&CR requirements
- Assisting in preparation of training material relevant to key regulatory updates.
- Assisting with the completion and collation of: Employee Certification Forms (annual); and Code of Ethics (Personal Account Dealing) (quarterly)
- Maintain registered e.g Conflicts of interest Register/Log, etc and related documentation.
- Collation of documents/information to support monthly, quarterly and annual Canadian and US regulatory filings.
- Management of Compliance Calendar and follow through on actions required by team.
- Supporting on annual review of firm’s compliance policies.
- Assist with ad hoc projects and tasks, as required.
- Ensure that your personal conduct complies in all respects with the Individual Conduct Rules prescribed by the FCA in the Code of Conduct for Staff Sourcebook, namely:
The requirements
- Degree educated
- Between 1 to 2 years compliance experience
About compliance & regulatory roles for ex-police
Compliance, AML and regulatory roles. Working to PACE, RIPA and CPIA is a stronger regulatory grounding than most civilian applicants can offer — firms increasingly recognise this.
See all compliance & regulatory jobs in London →Why this fits a police background — match score 78/100
- Intelligence & OSINT
- Working to legislation & regulation
What compliance & regulatory roles pay ex-police
Advertised UK ranges, editorial estimates reviewed July 2026
| Compliance analyst | £32,000–£42,000 |
| Compliance / AML officer | £40,000–£55,000 |
| Compliance manager | £55,000–£80,000 |
| Senior manager / head of compliance | £80,000–£120,000+ |