Compliance Officer - Asset Manager - London

Job type:
Start date:
Real Staffing
Published at:
flag_no United Kingdom
Project ID:

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A highly successful Asset Management firm is seeking an ambitious compliance specialist to work closely with the team in London monitoring Conduct of Business, AML, ABC and FCA Regulatory matters. This is an exciting chance for a junior to mid level compliance professional to take ownership of the monitoring programme, gain some excellent stakeholder management experience and help shape the strategy across the European offices.

Responsibilities will include:
  • Carrying out compliance monitoring of all FCA regulated activities undertaken by the firm
  • Performing thematic reviews of regulatory issues identified by compliance management
  • Supporting the MLRO in monitoring the effectiveness of AML / ABC risk controls
  • Carrying out daily FCA transaction reporting duties and handling FCA change of controller notifications
  • Reviewing 'in house' standards and FCA conduct of business Financial Promotion requirements of all marketing literature prior to publication
  • Providing regulatory support to the business by monitoring trade and transaction activities
  • Undertaking all administrative duties associated with the placement and record keeping of a trade freeze
  • Keeping abreast of FCA Regulatory rule changes and developments, assessing their impact and as appropriate, circulating to management to consider next steps.

  • 3+ years experience in compliance preferably within Investment Management
  • Experience providing input into a compliance monitoring programme
  • Degree level educated or equivalent

Location - London

£60,000 to £70,000 (+ travel fees paid & extremely competitive package)

This is a fantastic opportunity to gain some wide exposure in compliance across a Asset Management firm. If you are interested in applying, please send a CV highlighting