Compliance Officer – Asset Management
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
* 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
* Support the execution and ongoing updates of the compliance monitoring program.
* Assist with regulatory filings to the FCA, SEC, OSC, FSB, and other regulators.
* Prepare substantial holdings reports and respond to issuer requests.
* Maintain compliance registers, including PA dealing, gifts and entertainment, breaches, complaints, and conflicts of interest.
* Maintain AML and customer due diligence procedures.
* Conduct sanctions screening, monitor PEPs, and review high-risk accounts.
* Ensure adherence to AML regulations (JMLSG, FATF, UK Bribery Act) and familiarity with U.S. AML regulations is advantageous.
Training & Compliance Education
* Support the CCO in delivering compliance training and onboarding new employees.
* Oversee annual completion of online compliance training for all staff.
* Assist with Bloomberg OMS-related projects and regulatory implementations.
Is This Role for You?
The ideal candidate will have:
Experience: Mid-career compliance professional with experience in asset management/hedge funds.
Technical Expertise: Knowledge of UK, US, and EU financial services regulations and financial crime laws.
Systems Knowledge: Bloomberg AIM, Advent APX, Salesforce, GBG sanctions tools.
Regulatory Acumen: Familiarity with FCA Handbook, UCITS rules, and SEC regulations (preferred).
Asset Class Experience: Equities experience is essential.
Strong Communication & Attention to Detail: Ability to build relationships and engage effectively across teams.
Education: A degree in Law, Finance, or Accounting is preferred. IMC qualification is desirable.
Please note, this is a contract role for 6-9 months which will require someone to attend a London office 3 days per week.
Seniority level
* Mid-Senior level
Employment type
* Contract
Job function
* Legal and Other
* Industries: Investment Management
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