Job Description
Key info:
* Permanent role
* 4 days in 1 from home
* Strong base and bonus
Senior Compliance Officer – Investment Management
My client, an established global investment house is seeking an experienced Senior Compliance Officer to join its London-based team. This is an exciting opportunity to work within a highly regarded firm with a long history of excellence in wealth and asset management, and a strong focus on sustainable investing.
Role purpose:
The successful candidate will play a key role in supporting the Chief Compliance Officer and the broader Compliance team, with a focus on portfolio management, trading oversight, and regulatory compliance across the firm’s investment management activities.
Key Responsibilities:
1. Design and implement elements of the annual Compliance Plan.
2. Lead and manage the daily Compliance Monitoring Programme across regulated activities.
3. Conduct oversight of portfolio management and trading, including market abuse surveillance, transaction reporting, conflict of interest management, and best execution monitoring.
4. Stay up to date with evolving regulations, assessi...