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Compliance Officer, Asset Management

2 months ago

London, Greater London, United Kingdom Compliance Professionals Full time
Compliance Professionals is seeking a Compliance Officer, Asset Management to join our team. The ideal candidate will have prior experience in a compliance role within an Asset Management environment and a good knowledge of the FCA's regulatory rules as they apply to asset managers. The Compliance Officer, Asset Management will be responsible for managing the compliance relationships with the front office team, portfolio managers, research analysts, and the finance team. This includes developing, updating, and implementing the firm's compliance policies and procedures, as well as proactively reviewing the implications and impact of upcoming regulatory changes. The Compliance Officer, Asset Management will also assist in/lead on the day-to-day compliance oversight and monitoring activities of the firm, including market soundings, management of the restricted list, advising on guideline restrictions, conflicts of interest, financial promotion approvals, client classification, and research. Additionally, the Compliance Officer, Asset Management will provide compliance input into a range of projects/initiatives, including new fund launches and other development initiatives. The Compliance Officer, Asset Management must have a strong understanding of the asset management industry and specific investment asset classes and products. If you are a motivated and detail-oriented individual with a passion for compliance, we encourage you to apply for this exciting opportunity.

**Key Responsibilities:**

* Manage compliance relationships with the front office team, portfolio managers, research analysts, and the finance team
* Develop, update, and implement compliance policies and procedures
* Proactively review the implications and impact of upcoming regulatory changes
* Assist in/lead on day-to-day compliance oversight and monitoring activities
* Provide compliance input into projects/initiatives

**Requirements:**

* Prior experience in a compliance role within an Asset Management environment
* Good knowledge of the FCA's regulatory rules as they apply to asset managers
* Strong understanding of the asset management industry and specific investment asset classes and products

**What We Offer:**

* Competitive salary and benefits package
* Opportunity to work with a leading investment management firm
* Collaborative and dynamic work environment

If you are a motivated and detail-oriented individual with a passion for compliance, we encourage you to apply for this exciting opportunity.