Investment Compliance Manager

The Investment Compliance Manager supports the Head of Compliance in ensuring that all investment activities meet regulatory requirements and internal policies.

The role focuses on monitoring compliance, advising stakeholders, and overseeing both pre- and post-trade investment controls.

Key Responsibilities

Regulatory & Policy Oversight

• Develop and maintain compliance policies and procedures aligned with regulatory requirements
• Ensure adherence to key regulations (e.g. market abuse, trade reporting, derivatives regulations, best execution)

Investment Compliance Monitoring

• Manage compliance rules within the investment management system and oversee trade alerts
• Monitor pre- and post-trade activity to ensure adherence to investment restrictions

Advisory & Transaction Support

• Support investment teams on new and existing transactions
• Conduct due diligence and financial crime checks
• Provide guidance on compliance implications of proposed activities

Risk & Assurance

• Contribute to a risk-based compliance monitoring and testing programme
• Identify and escalate compliance risks and emerging issues

Regulatory Insight

• Keep up to date with regulatory developments and industry trends
• Translate regulatory changes into practical recommendations for the business

Reporting & Communication

• Prepare compliance reports for senior management and committees
• Liaise with internal stakeholders and external parties on compliance matters

Training & Development

• Deliver training on compliance policies and regulatory requirements
• Promote awareness of compliance responsibilities across the business

Systems Oversight

• Monitor and assess effectiveness of compliance systems and controls

Skills & Experience

Essential

• Experience in investment compliance within financial services (ideally asset management)
• Strong Investment Compliance Coding experience & LDI (Liability Driven Investment) exposure is required
• Strong understanding of regulatory frameworks affecting investments
• Experience operating pre- and post-trade compliance systems (e.g. order management platforms)
• Ability to analyse regulatory requirements and apply them in practice
• Strong communication skills with stakeholders at all levels
• Ability to influence, challenge, and drive change
• Strong organisational skills with the ability to manage multiple priorities

Desirable

• Professional compliance or financial qualification (e.g. ICA, CFA, CISI, ACAMS)
• Knowledge of liability-driven investment strategies
• Experience managing or mentoring others

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