Job Description
Overview:
A global investment management firm is seeking a Compliance Officer to join its UK-based compliance team. The role supports the development, implementation, monitoring, and enforcement of the firm’s compliance programme and works closely with legal and compliance leadership.
Key Responsibilities:
* Review and approve marketing and promotional materials to ensure compliance with UK and EU regulatory requirements.
* Oversee distribution arrangements for regulatory compliance.
* Monitor personal trading and reporting under the firm’s Code of Ethics.
* Conduct KYC and AML reviews for clients and prospects.
* Prepare compliance-related reports for clients.
* Support regulatory filings and mandatory reporting.
* Review client mandates to ensure adherence to contractual, internal, and regulatory obligations.
* Undertake additional compliance tasks as required.
Required Experience & Skills:
1. Degree-level education or equivalent compliance experience within an authorised investment manager.
2. Strong working knowledge of UK financial services regulation (FCA Handbook).
3. Proven experience reviewing and approving marketing and advertising materials.
4. Familiarity with relevant regulatory frameworks (e.g. MiFID II, AIFMD, UCITS, SMCR, Consumer Dut...