Compliance Officer

  • Posted: 20/06/2024
  • Salary: -
  • Location: London, Greater London, United Kingdom
  • Job Type: Permanent/Fixed Term

Main Responsibilities:

  • Conduct Compliance Monitoring for the Firm’s regulated business, including:
  • Monitoring regulatory developments
  • Overseeing Portfolio Management and Trading activities
  • Reviewing Market Abuse controls
  • Maintaining Restricted Lists
  • Overseeing SM&CR framework
  • Overseeing KYC/AML onboarding/refresher for counterparties
  • Maintaining Regulatory Watch for key legislative updates
  • Monitoring and approving marketing & sales activities
  • Managing Conflicts of Interest
  • Overseeing Investment Research framework
  • Provide proactive compliance advice on asset management matters.
  • Oversee Transaction Reporting controls.
  • Controlling money laundering risks in daily operations, including new client onboarding and business profile changes.
  • Escalate material compliance/regulatory concerns to the CCO.
  • Assist the CCO with reports to Committees & Board.
  • Maintain Compliance Policy & Procedures.


Required Skills:

  • Minimum 7 years’ experience in Investment Management or similar
  • Strong understanding of UK regulatory requirements (e.g., Major Shareholding, SSR, Takeover Panel)
  • Solid background in market abuse and trading activities
  • Excellent problem-solving skills and 'Can-do' attitude
  • Self-supporting, results-oriented, and proactive
  • Strong written and verbal communication skills
  • Ability to meet tight deadlines
  • Proficient with Bloomberg AIM
  • Thorough understanding of FCA Rulebooks (SYSC, COBS)
  • Knowledge of UCITS and other offshore fund regulatory requirements
  • Understanding of European regulations (MiFID II, MAR, local regulations)
Anis Soomaroo Consultant

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