Compliance Officer – Asset Management | UCITS & AIFs
Location: London (Hybrid)
Salary: Competitive
Job Type: Permanent
A wealth management client of IDEX Consulting are looking for a Compliance Officer to join their growing compliance team in the Investment funds division. This role offers broad exposure across compliance monitoring, financial promotions, and regulatory framework implementation, with a focus on investment funds – specifically UCITS and AIFs.
Key Responsibilities:
* Compliance Monitoring – Conduct reviews to ensure ongoing regulatory compliance of investment funds.
* Financial Promotions Sign-Off – Review and approve marketing materials in line with FCA regulations.
* Regulatory Framework Implementation – Develop and embed compliance policies, procedures, and controls.
* Regulatory Change & Horizon Scanning – Keep up to date with UCITS & AIFMD developments and implement necessary changes.
* Stakeholder Engagement – Work closely with investment teams, legal, and risk functions to support compliant fund operations.
Key Requirements:
* Experience in UCITS & AIFs – Essential knowledge of regulatory requirements for investment funds.
* FCA Regulatory Knowledge – Strong understanding of financial promotions, fund governance, and compliance frameworks.
* Analytical & Problem-Solving Skills – Ability to assess risks and provide pragmatic solutions.
* Stakeholder Management – Experience liaising with investment teams, legal, and external regulators.