Compliance Officer - Asset Management

  • Location


  • Discipline:


  • Job type:


  • Salary:

    £60,000 - £65,000

  • Consultant:

    Edward Manson

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  • Published:

    3 months ago


A global asset management firm is looking for to recruit a generalist Compliance Officer to join their growing team in London. The main focus of the business is funds, advisory services, account management, and retirement plans as well as services for individuals, institutions, and financial intermediaries.

The main purpose of the role is to support the Compliance Managers and Director of International Compliance to make sure the business operations are compliant with relevant legislation and regulation.

Key Responsibilities

Working to ensure that the business conducted within the EMEA region complies with relevant laws and regulations including:

  • Assisting the SMCR Conduct Manager in maintaining up to date records, registrations and information on the firm’s Senior Managers and Certification Staff for the UK entity.
  • Assisting with regulatory reporting for the firm, e.g. GABRIEL/CONNECT
  • Ensuring appropriate policies and procedures are followed to comply with local conduct of business rules
  • Responding to question/information requests from regulatory authorities
  • Developing and enhancing policies/procedures for the business to ensure compliance with regulatory or market developments. 

Delivery of actionable consultative compliance support to the Equity and Fixed Income investment business as well as being the contact point for Investment Professionals for questions related to regulatory matters:

  • Researching and responding to trading issues and providing interpretive guidance on the trading manual matters
  • Makes decisions on whether clients can participate in an IPO or private placement;
  • Developing and enhancing procedures for the business

Providing consultative support and advice on Code of Ethics and Conduct related matters including:

  • Advice on policy with regards to reporting and prior clearing gifts and entertainment;
  • Advice the investment business when conflicts of interest may arise. Using judgment to determine appropriate action to avoid any such conflict.
  • Acting as central point for over the wall calls/market soundings from brokers and advising the investment business on issues making additions to or removals from the Restricted List.


  • At least 4-5 years Compliance experience within the asset management industry
  • Degree educated (preferred but not essential)
  • Good knowledge of the FCA handbook (a particular focus on CASS and COLL would be advantageous)
  • Good product knowledge – US mutual funds, UCITS products and separate account strategies
  • Excellent interpersonal and influencing skills.
  • Able to work under pressure and produce results without close supervision.
  • Ability to handle heavy workload under tight timeframes and prioritize appropriately.
  • Good verbal and written presentational skills.
  • Implacable attention to detail