Job Description
Compliance Director
Location: London
Salary: Up to £180,000 base + benefits
Overview
An established global institutional asset manager specialising in corporate credit is seeking a senior Compliance Director to join its London office. The firm manages a broad range of strategies across public and private credit markets and operates across key international financial centres.
This is a senior leadership role working closely with the Global Co-Heads of Compliance and partnering with stakeholders across the UK, Middle East and APAC regions. The successful candidate will play a pivotal role in shaping, coordinating and enhancing the Global Compliance Programme.
Key Responsibilities
* Partner with Global Co-Heads of Compliance to coordinate and strengthen elements of the Global Compliance Programme
* Oversee and contribute to regulatory filings and ongoing regulatory engagement
* Lead insider dealing and market abuse monitoring frameworks
* Oversee best execution monitoring processes
* Support and enhance the compliance risk assessment framework
* Design and conduct compliance monitoring and testing programmes
* Maintain and update compliance policies, procedures and entity-specific manuals
* Review marketing materials to ensure compliance with global regulatory requirements
* Advise on cross-border marketing and distribution considerations
* Deliver compliance training across multiple jurisdictions
* Oversee the Global Code of Ethics, including personal account dealing processes
* Prepare management information and board-level reporting
* Conduct compliance onboarding for new joiners
* Provide day-to-day advisory support to investment teams across public markets and private debt
* Act as secretary to the Global Risk and Compliance Committee
* Contribute to regulatory change and strategic compliance projects
Experience & Qualifications
* Minimum 10 years’ experience within Compliance at an FCA-regulated investment manager
* Strong understanding of credit markets, including public credit and ideally private debt
* In-depth knowledge of FCA and EU regulatory frameworks; exposure to MAS and Hong Kong SFC regimes advantageous
* Solid understanding of UCITS and AIFMD regimes, including cross-border marketing rules
* Degree educated; IMC or other relevant professional qualification preferred
* Comfortable leveraging compliance technology platforms and data tools, with interest in automation and AI-driven process enhancement
* Self-motivated, collaborative and able to operate effectively within a global, fast-paced environment
* Strong organisational and analytical skills with high attention to detail
* Excellent written, verbal and presentation skills
* Advanced proficiency in Microsoft Word, Excel, Visio and PowerPoint