Compliance Officer - Investment Management

Austin Andrew
London, United Kingdom
17 May 2022
26 May 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
The London office is authorised as a MiFID investment firm by the FCA

This role has a clear pan-European focus - as such the compliance department works collegiately across the European network of offices and enjoys an excellent collaborative relationship with the business itself too

The position will report into the Head of UK and Luxembourg Compliance

The firm broadly applies a "three lines of defence" approach to its corporate governance arrangements and whilst this role is central to the functioning and management of the "second line", the successful candidate will from time to time also work directly on certain matters that might be more typically categorised as "first line" matters (such as providing support to client pitches and marketing, negotiating third party appointments, reviewing client and transaction KYC, assisting with digitalization projects, service provider due diligence assessment, drafting policies and investor/fund on-boarding matters).

You would be working closely with other members of the European Legal & Compliance team of and closely with the fund management and transaction teams based in London, European Investor Relations team, and European Operations team.

You would be responsible for supervising and mentoring a London based Compliance Analyst

I have a full and detailed specification however the role can broadly be divided into the following areas

  • Compliance Framework

  • Marketing

  • SMCR

  • Business support

There are a number of options for future career development in this role including the possibility of leading the UK compliance and Luxembourg functions in the future

The firm is looking to offer a base salary of up to £85,000 together with a full benefits programme to include an annual bonus scheme

The expectation is that you would work to a hybrid business model - being in the office for three days per week

For a confidential conversation to discuss further please send me an email or call me in confidence on 07425 325267

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