Job Description
Overview
An established global asset management firm is seeking an experienced Compliance Officer to contribute to the implementation of its compliance monitoring and oversight program. This role plays a critical part in ensuring ongoing regulatory alignment across trading and portfolio management activities. Reporting into the Head of Compliance, the successful candidate will serve as a key advisor on regulatory matters and support governance, monitoring, and internal control activities across the firm’s investment platform.
Key Responsibilities
1. Design and help execute the annual Compliance Monitoring Plan in collaboration with senior leadership.
2. Lead the daily monitoring program focused on regulated investment management activities.
3. Conduct surveillance related to market abuse risks and trading activity.
4. Review and monitor best execution and transaction reporting obligations.
5. Assess and manage potential conflicts of interest across business units.
6. Stay current on regulatory updates and assess their impact on operations and internal policies.
7. Provide strategic and operational compliance advice, including support for new initiatives and business developments.
8. Support the delivery of required regulatory filings and reports in a timely and accurate manner.
9. Drive internal awaren...