Compliance Officer

The Value of Active Minds

About Jupiter

Jupiter is one of the UK's leading investment management companies with just over 500 employees and £48.8 billion worth of assets under management (as at 30th June 2022).

Jupiter provides investment services to individual and institutional investors through mutual funds (UK unit trusts, Luxembourg SICAVs and Dublin OEICs), separately managed accounts and sub-advised funds. Jupiter has experienced a period of international growth with offices open in EMEA, APAC and the US.

The majority of our employees are based in our London office located just minutes from Victoria station which provides stair-free access from both the Underground's Victoria line and National Rail platforms, as well as limited road crossings to the Jupiter office. Our London office was designed to encourage employees to live active, healthy lives with floor-to-ceiling windows that allow for greater natural light and the benefit of a private balcony, table tennis room, cycle storage and on-site shower and locker facilities. The short distance to Green Park and St James' Park also provides employees with a natural space to relax during their lunch break and a healthy alternative to office-based meetings.

We offer our UK employees a 2-1-2 hybrid working arrangement where Tuesdays, Thursdays and a third day of your choice are worked from the office. The other two days may be worked from home. This facilitates collaboration and allows employees to maximise productivity whilst maintaining a healthy work/life balance.

Background

As a core member of the Compliance Monitoring team, you will be responsible for conducting range of ongoing monitoring tasks as well as regular trade and communication surveillance activity. The role will also provide support and mentoring to the Compliance Analyst that sits within the team and will require active involvement in project work where appropriate.

Key Responsibilities

• Perform monitoring and surveillance activity in accordance with the Group Compliance Monitoring Plan.
• Identify non-compliant issues and/or potential risk areas as a result of the monitoring performed.
• Document the monitoring work undertaken and provide management information to the Head of Compliance Monitoring and/or other departmental heads, managers or staff as appropriate.
• Make recommendations for the resolution of issues identified and consult with relevant staff.
• Identify breaches, collate supporting documentation and enter the breach into the relevant breach log.
• Provide challenge to the business and offer guidance on compliance matters to enhance monitoring capabilities
• Update and score the Compliance risk assessments for areas of responsibility.
• Maintain strong working relationships with departmental heads, managers and staff
• Carry out ad-hoc projects as required.
• Support the ongoing maintenance of relevant group policies and reporting
• Provide close mentorship and guidance to the team's Compliance Analyst.
• Assist with the delivery of regulatory change

Desired Skills / Experience

• Asset Management compliance monitoring experience, with knowledge of trade and communication surveillance processes and systems
• Previous experience conducting regular trade surveillance across equity, fixed income and some derivative instruments (ETD, IRS, CFD and some OTC products)
• Knowledge of the Market Abuse Regime, MiFID Best Execution Requirements and the COBS handbook would be advantageous.
• Excellent communication and influencing skills (both verbal and written).
• Ability to communicate complex issues accurately and succinctly to employees at all levels in the Company
• Organizational skills - capable of working to deadlines and multi-tasking
• Proficient with IT and technology including data manipulation techniques
• Resilient - able to cope in a fast moving and challenging environment
• To have the ability to work as a team on group tasks/reviews as well as being able to work independently
• Educated to degree level or equivalent industry experience.
• Professional qualifications desirable.

Additional Role Details

• This role is subject to the Conduct Rules set by the FCA.

Don't meet every requirement? At Jupiter we are dedicated to building a diverse and inclusive workplace, so if you are interested in this role, but don't think your experience aligns perfectly with every listed requirement in the job description, we would encourage you to apply. You may be the right person for this role.