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Regulatory Compliance Officer

Information About This Job

Job Title: Regulatory Compliance Officer
Contract Type: Permanent
Location: London
Salary: Competitive Salary
Contact Name: Mark Foy
Contact Email:
Job Published: over 1 year ago

Job Description

A London asset management firm is seeking a Regulatory Compliance Officer to assist in the management and supervision of the Firm’s compliance efforts, with a focus on regulatory compliance relating to the conduct of the Firm’s investment management business. 


Key Responsibilities 

Provide support to the Head of London Regulatory Affairs and Compliance on all regulatory and compliance oversight duties which will include but are not limited to:

  • A firm grasp and understanding of FCA Conduct of Business Sourcebook on principles that apply to UK investment management business, including MiFID-level best execution, allocations, deal records and order priority. Assist in supervising the Firm’s compliance with policies and procedures, including administration of Code of Ethics requirements (e.g. Personal Account Dealing). 

  • Responsible for administration and timely-execution of the compliance monitoring program, including reporting of the findings to the Manager, International Legal and Compliance. 

  • Provide senior level support to the Head of London Regulatory Affairs and Compliance with assessment and implementation of regulatory changes affecting the Firm.  

  • Knowledge of other regulatory regimes (SEC, CBI, etc.) is a big plus.

  • Work with Firm’s International Regulatory team to develop, deliver and implement monitoring tests, including periodic and on-going broker reviews, broker approvals, review of marketing material including RFPs and RFIs. 

  • Assist with regulatory filings with the FCA and other regulators as required. Maintain the Firm’s FCA Approved Persons Registrations.

  • Support special and ad-hoc projects as assigned by local and international management, which may also be global in nature. 

  • Providing assistance in preparation for External/Internal Audits/Client Visits.

  • Organization and maintenance of Compliance documentation.


Skills and Experience

  • Proven strong verbal and written communication skills and good standard of computer literacy. 

  • Ability and confidence to work with senior members of staff.

  • Good organizational skills and attention to detail.

  • Ability to work to tight deadlines.

  • 2-5 years of experience within financial services/asset management is ideal.

  • Basic understanding of Fixed Income Securities.

  • Educated to Degree Level

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