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
* Design and help execute the annual Compliance Monitoring Plan in collaboration with senior leadership.
* Lead the daily monitoring program focused on regulated investment management activities.
* Conduct surveillance related to market abuse risks and trading activity.
* Review and monitor best execution and transaction reporting obligations.
* Assess and manage potential conflicts of interest across business units.
* Stay current on regulatory updates and assess their impact on operations and internal policies.
* Provide strategic and operational compliance advice, including support for new initiatives and business developments.
* Support the delivery of required regulatory filings and reports in a timely and accurate manner.
* Drive internal awareness of regulatory responsibilities and foster a culture of compliance and ethical conduct.
* Oversee competence and training requirements for relevant staff in regulated roles.
* Evaluate and maintain systems and controls to ensure ongoing compliance with applicable standards.
* Provide oversight for data protection activities, including handling of access requests.
* Draft, maintain, and update compliance policies and procedures in line with best practices and regulatory developments.
Candidate Profile
* 5+ years of experience in investment or asset management
* Trading and portfolio management compliance experience
* Strong initiative and self-direction, with excellent prioritisation and time management skills.
* Exceptional written and verbal communication capabilities.
* Comfortable working under pressure and delivering to tight deadlines.
* In-depth understanding of relevant regulatory frameworks (e.g., conduct rules, AML standards).