Compliance Officer

We are partnering with a highly respected global investment management business in its search for an experienced Compliance Officer to join its UK Compliance function.

This is an excellent opportunity for a compliance professional seeking broad exposure across a sophisticated international asset management platform. The successful individual will work closely with senior stakeholders across the business and play a key role in delivering practical compliance guidance within a dynamic and collaborative environment.

The Role

Reporting into senior compliance leadership, responsibilities will include:

• Providing day-to-day compliance advice to business stakeholders across investment, distribution, marketing and corporate functions
• Supporting the delivery of the Compliance Monitoring Programme, including risk-based testing and thematic reviews
• Maintaining and enhancing SMCR frameworks and record keeping
• Reviewing financial promotions across UK and international markets
• Supporting the ongoing development of compliance policies and procedures
• Advising on Personal Account Dealing, Gifts & Hospitality, Outside Business Interests and employee certifications
• Monitoring regulatory developments and assessing business impact
• Delivering compliance training and awareness programmes
• Supporting local and global compliance initiatives and projects
• Acting as a trusted compliance partner to key business areas

…