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Compliance Officer

Information About This Job

Job Title: Compliance Officer
Contract Type: Permanent
Location: London
Salary: Competitive Salary
Contact Name: Mark Foy
Contact Email:
Job Published: over 2 years ago

Job Description

About The Role:

In this UK based position, the successful candidate will be responsible for a wide range of compliance tasks including providing support to the UK Business Development Unit (BDU) as well as assisting the wider company International compliance team in other BDUs as required. The UK BDU has grown in the level of business activity including the UK OBIC product launch, Portfolio Research and Consulting Group (PRCG) analysis and the candidate will play an important part in supporting its future growth. 


Key Responsibilities:

  • Responsible for the review and approval of marketing materials.
  • Responsible for the PRCG team covering all regulatory matters arising.
  • Undertake compliance monitoring.
  • Assist with the research and analysis of regulatory developments (e.g. MiFID 2) and their impact on the company's International as well as the UK and MENA BDUs.
  • Participate in the implementation of regulatory changes as appropriate.
  • Other ad hoc analyses and project work as requested. 


Skills & Qualifications: 

  • 8+ years of general compliance experience, preferably in asset management
  • Exposure to an international business operating environment working across multiple jurisdictions would be an advantage.
  • Demonstrated ability to acquire new skills and learn new tasks.
  • Focused, diplomatic team player who can relate to staff across cultures and business functions.
  • Strong organisational skills essential. 
  • Excellent interpersonal, communication (written and oral) skills. Must be a self-staiter and results focused,
  • Willingness to travel. 

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