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:
* Design and implement elements of the annual Compliance Plan.
* Lead and manage the daily Compliance Monitoring Programme across regulated activities.
* Conduct oversight of portfolio management and trading, including market abuse surveillance, transaction reporting, conflict of interest management, and best execution monitoring.
* Stay up to date with evolving regulations, assessing business impact and supporting implementation of changes.
* Provide proactive, practical compliance advice on new products and business initiatives.
* Oversee the accuracy and timeliness of regulatory reporting and filings.
* Promote a strong compliance culture and foster regulatory awareness across the business.
* Support governance reporting, including preparation of compliance updates for senior management and the Board.
* Contribute to data protection oversight and manage Subject Access Requests.
* Develop, review, and maintain compliance policies and procedures to uphold ethical standards.
Your Profile
* Degree-qualified in a relevant discipline (e.g. Law, Compliance, Finance).
* 5–10 years’ experience in investment management, with a strong background in portfolio management compliance.
* Solid understanding of FCA rules, particularly COBS, and anti-financial crime frameworks.
* Skilled at managing competing priorities and meeting tight deadlines.
* Strong communicator with excellent organisational skills and attention to detail.
* Confident working independently, with a proactive and results-oriented mindset.
* Committed to fostering a culture of integrity, accountability, and continuous improvement.
This is a fantastic opportunity to join a forward-thinking investment management firm with a commitment to innovation, sustainability, and responsible growth. You’ll be part of a collaborative and inclusive environment that encourages professional development and supports long-term career success.
N.B my client can't offer sponsorship for this role