Senior Compliance Officer

Senior Compliance Officer

  • Location

    London, United Kingdom

  • Sector:

    Compliance & Financial Crime

  • Job type:


  • Salary:

    £900 per day

  • Contact:

    Gary Robertson

  • Contact email:


  • Job ref:


  • Published:

    2 months ago

  • Expiry date:


  • Consultant:


This position has been created to support the Head of Compliance in overseeing key product and client solutions activity. In particular, the role will oversee ETF and Index business, and wealth sales channels, client solutions, cash and money markets and institutional client businesses.

The ideal candidate will have relevant experience within Compliance or Legal at a very senior level, held a CF10 position, and have extensive experience within asset management. Previous exposure to exchange traded products is desirable. More importantly, significant knowledge and experience of UCITS funds domiciled in the U.K., Ireland, Luxembourg and/or Germany will prove a distinct advantage. Experience of working within regulatory frameworks outside the U.K., ideally as a regional Head of Compliance, is highly desirable. In addition, the individual will need to have proven leadership skills. The candidate will have responsibility for establishing and maintaining strong and constructive relationships with senior business heads and therefore should have a proven track record of successful relationships management at a senior level

We are seeking an experienced compliance professional preferably with a broad knowledge of UCITS, AIFMD & MiFID requirements.


Working on new business initiatives to assess impact and ensure appropriate frameworks are put in place. In particular partnering with the business in developing client solutions
Participating in Compliance or business-driven projects, including regulatory developments and strategic initiatives, by providing expert and timely value-added advice

Responsible for building and maintaining strong relationships with Senior heads in these business areas;
Responsibility for advising the business, front office and sales on regulations that impact them, including investment advice, product governance and inducements

Oversight of reporting into local Boards and Executive Committees;

Acting as the compliance contact for specified projects, including for example business initiatives, mergers & acquisitions, compliance projects, new regulations;
Dealing with regulatory matters arising, and projects as required, including regulatory changes;

We aim to be an equal opportunity recruiter and we are determined to ensure that no applicant receives less favourable treatment on the grounds of gender, age, disability, religion, belief, sexual orientation, marital status, or race, or is disadvantaged by conditions or requirements.