Compliance Officer

1 month ago

London, United Kingdom PineBridge Investments Full time

PineBridge Investments is seeking a Compliance Officer to join its EMEA Compliance team and assist with the execution of its compliance program and support PineBridge’s financial crime prevention framework. This role will be based in PineBridge’s London office and report into the Head of Compliance (EMEA).

Primary Responsibilities:
- Provide compliance guidance and training to relevant stakeholders on regulatory matters including those related to financial crime prevention (i.e. Anti-Money Laundering, Anti-Bribery & Corruption)- Perform monitoring tasks as part of the execution of PineBridge’s compliance program including those designed to test the effectiveness of PineBridge’s financial crime prevention framework- Provide assistance to PineBridge’s regional compliance teams on financial crime prevention matters as part of PineBridge’s AML and Onboarding Centre of Expertise- Assist with the reporting of activity and key metrics relating to compliance matters including financial crime prevention through regular and ad hoc management reports- Monitor regulatory developments including those relating to Money Laundering Regulations in the UK, EU and other jurisdictions in which PineBridge operates- Contribute to compliance initiatives related to the distribution of PineBridge’s products and services as part of PineBridge’s Distribution Centre of Expertise- Assist with the review of financial promotions to ensure they comply with relevant regulatory guidelines- Provide compliance advice to PineBridge’s marketing and distribution teams on relevant cross-border marketing rules- Assist with the compliance oversight and support of PineBridge’s regulatory footprint within the EMEA region including its representative offices- Draft and update compliance policies and procedures in line with applicable regulatory requirements and industry best practices- Interaction with internal and external auditors, and regulators-
- Participation in various regional and global projects- Other duties as necessary

QUALIFICATIONS- Minimum of 5 years related experience in an asset management firm or similar organisation- Knowledge of UK and EU Money Laundering Regulations and related guidance- Good communication and relationship building skills.- A self-starter and ability to work autonomously- Ability to multi-task and meet tight deadlines- Attention to detail with good problem-solving skills

Knowledge of the following would be useful:
- MiFID II, UCITS, AIFMD, Market Abuse Regulation, Cross Border Distribution Framework- Money laundering legislation in the Americas and APAC- Using sanctions screening tools or analysing the outputs of such- Investment strategies and asset classes such as fixed income, equities, multi-asset, alternatives and private equity real estate

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