Compliance Officer – Asset Management Firm – 14th May 2019


The successful candidate will assist the Compliance function – covering a wide range of matters to ensure that the firm remains fully compliant with all applicable regulations.


Key Responsibilities 

  • Actively take part in the formulation of an annual Compliance plan. Conduct the Compliance Monitoring program covering the Firm’s regulated business including, but not limited to:
  • Monitoring of portfolio management activities, trading activities, marketing & sales activities and distributors
  • Investment Guideline monitoring of UK, Luxembourg and Swiss portfolios/funds.
  • Conflict of interest management
  • Maintain awareness of regulatory/compliance developments, assess the impact to the business and initiate necessary changes or seek to ensure that relevant managers initiate such changes.
  • Provide advice proactively on financial services compliance matters in connection with both existing and new business proposals, as prioritised by the CO.
  • Ensure the prompt completion and filing of required regulatory returns and reports.
  • Support the Money Laundering Reporting Function, including training for employees, appropriate provision of information to senior management, appropriate measures to ensure the effective control of money laundering risk within the firm’s day-to-day operations, including the new clients on-boarding and changes to the firm’s business profile.
  • Provide to staff, as appropriate, an awareness of individual and corporate regulatory requirements and developments in order to strengthen the compliance culture while having regard to business strategy.
  • Promote the highest ethical standards required of staff and ensure staff meet the requirements of the Code of Ethics and the relevant regulatory rules that cover the European business
  • Escalate any material compliance/regulatory concerns or issues to the Firm Executive as required.
  • Ensure client agreements are up to date and reflect current laws and regulations.


Knowledge and Skills Required

  • Experience of working in an international, multicultural Investment Management environment
  • A thorough grasp and understanding of Portfolio Management Compliance
  • Pro-Active and able to work to tight deadlines
  • Excellent attention to detail
  • Good communicator and strong interpersonal skills
  • Ability to build and maintain close relationships internally and externally
  • A thorough understanding of FCA Rulebooks in particular COBS and Money Laundering regulations and best practices
  • Transaction reporting/Disclosure experience



Contact Details

Name: Emma Karslake


Number: 0203 7780309

Posted: 14th May 2019

Ref: RSEKK10994