Job Description
Compliance Officer – Asset Management
📍 Location: London (Hybrid)
📅 Contract Type: Contract (FTC) 6 - 9 Months
💰 £80,000 - £100,000
About the Role
An established investment management firm is seeking a Compliance Officer to provide expert advice and support across all compliance areas. Reporting to the Chief Compliance Officer, this is a broad compliance role covering investment guideline monitoring, regulatory compliance, financial crime, and project work.
Key Responsibilities
✅ Investment Guideline Monitoring
* Oversee Bloomberg AIM, including coding and monitoring pre- and post-trade investment guidelines.
* Minimise guideline breaches and escalate issues where necessary.
* Conduct post-trade reviews on best execution, allocations, and trade amendments.
* Maintain exclusion and watch lists and run daily compliance reports.
* Monitor holdings for shareholder disclosures across various jurisdictions.
✅ Compliance Monitoring & Regulatory Reporting
1. Support the execution and ongoing updates of the compliance monitoring program.
2. Assist with regulatory filings to the FCA...