Compliance Officer

4 weeks ago

Birmingham, United Kingdom Clayton Davies Full time

Our client, a successful Investment Management firm, are looking for an experienced Compliance Officer to join the team to lead, oversee and manage the day to day compliance and operational aspects of their investment management business unit and platform offering, ensuring issues and risks of a compliance and regulatory nature are appropriately managed.


Key Responsibilities:


  • Develop and maintain regulatory compliance policies and procedures to ensure the highest standards in line with investment management and platform regulatory obligations and expectations, including but not limited the requirements of MiFID, GDPR, SMCR, AMLD, etc.
  • Provide day-to-day assistance and advice on regulatory issues (including regulatory change) to investment management line management and platform operations staff, ensuring an appropriate focus on good client outcomes at all times.
  • Working closely with the investment and operations teams and chosen platform provider to ensure process and controls and adequate and effective.
  • Participating in the development of service levels and target operating model as appropriate
  • Provide 2nd line challenge and oversight to the investment team, including performing post trade surveillance and investment mandate adherence.
  • Maintain effective control frameworks for incident reporting, conflicts management, PA dealing, market abuse, best execution.
  • Oversee the CASS activities and monitoring programme in place with our platform partner to ensure that solid operational process, reporting, resolution forum, experience and knowledge remain in place. Maintain awareness of market, industry and regulatory developments and how these may impact on CASS compliance.
  • Participate in joint service review meetings and/or joint risk and compliance meetings.
  • Assist in the completion of thematic reviews in accordance with the annual compliance monitoring programme.
  • Form part of the review and approval process in respect of financial promotions issues by investment management business unit and/or platform.
  • Research, prepare and submit detailed reports to the various departments and engage with external regulators such as the FCA when required.
  • Ensure compliance risks are appropriately identified and managed effectively, providing direction on corrective measures to the compliance advisory team and business alike so that these risks remain within acceptable and agreed parameters.
  • Assist in the production and presentation of compliance reports and compliance MI to various boards and committees.
  • Promote a good risk and compliance culture.


Experience Required:


  • Demonstrable knowledge of UK policies that reflect regulatory requirement, identify additional policies, procedures and ensure compliance
  • A background in regulatory compliance and change initiatives is essential
  • Investment management experience and platform experience

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