Compliance Officer for Global Investment Management

3 weeks ago


London, Greater London, United Kingdom Maldon Partners Full time

Maldon Partners seek a skilled Senior Compliance Officer (VP) for a 15-month maternity cover position at a leading Global Alternative Investment Manager in London.

The firm has a significant presence, managing c$50bn across four main business areas: Private Equity, Real Estate, Absolute Return Hedge Funds, and Credit Management.

This opportunity is ideal for an experienced compliance professional who is immediately available or has a short notice period (maximum 1 month) and has expertise in the Alternatives Space.

Hybrid working is available (4 days in the office).

The Role:

The successful candidate will work closely with the Chief Compliance Officer to develop and implement compliance frameworks for all lines of business.

Responsibilities will include:

  • Ensuring timely submission of regulatory reports through UK RegData and SEC FINRA Gateway.
  • Maintaining and updating Compliance Manuals.
  • Performing tasks required by, and periodically updating, the Compliance Monitoring Programs.
  • Assisting with the maintenance of personal dealing policies and procedures and online certifications system.
  • Leading the submission of SM&CR applications and annual Fitness and Propriety refresher.
  • Carrying out AML due diligence.
  • Assisting with counterparty KYC requests.
  • Assisting in deal-related regulatory filings.
  • Reviewing promotional materials to ensure they are fair, clear, and not misleading.
  • Assisting with the preparation of Board packs.
  • Carrying out regulatory horizon scanning.
  • Assisting with The Task Force on Climate-related Financial Disclosures (TCFD) reporting.

Requirements:

  • A minimum of 7 years of Generalist Compliance experience, preferably gained within an Alternative Asset Management or other Buy-Side Firm.
  • Knowledge of credit Management (CLOs) and Private Equity is beneficial.
  • Excellent knowledge of FCA rules and regulations.
  • Ability to make commercial decisions and work autonomously.

The Senior Compliance Officer (15-month maternity cover role) has a base salary of c£90,000 - £110,000 or Equivalent Day Rate, depending on experience, with hybrid working available.



  • London, Greater London, United Kingdom Maldon Partners Full time

    Maldon Partners is seeking a seasoned Compliance Officer to assume a 12-15 month maternity cover role for a Global Alternative Investment Manager based in Mayfair. The firm has a significant presence in the market with c$50bn in assets under management.The ideal candidate will have a strong background in generalist compliance, with experience in the buy-side...


  • London, Greater London, United Kingdom Robeco Investment Engineers Full time

    As a leading asset manager operating globally, Robeco combines the best of both worlds: global reach and ambitions with our headquarters in Rotterdam. Our team has strong links with academia, driving innovative quantitative and sustainability investing strategies. We offer an informal office atmosphere that fosters growth and performance.We are seeking an...

  • Compliance Officer

    7 days ago


    London, Greater London, United Kingdom Pacific Investment Management Co Full time

    Job DescriptionPacific Investment Management Co. is a leading investment manager that provides active fixed income solutions to clients globally. We are seeking a Compliance Officer to join our EMEA team in London and play a key role in maintaining a best-in-class Compliance program across PIMCO's EMEA operations.Key Responsibilities Oversee the testing and...

  • Compliance Officer

    1 month ago


    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Summary:We are seeking a highly skilled Compliance Officer to join our team at Compliance Professionals. The successful candidate will be responsible for ensuring adherence to regulatory requirements and internal policies, monitoring and assessing the effectiveness of compliance controls and procedures, and identifying and reporting compliance risks and...


  • London, Greater London, United Kingdom AXA Investment Managers Full time

    About the Role: As a Junior Compliance Surveillance Officer at AXA Investment Managers, you will be working closely with the Global Compliance Investment Transversal Business Process team. Your primary responsibility will be to assist in the design, implementation, and reporting of transactional surveillance activities. This includes conducting market...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    Job DescriptionWe are seeking a highly skilled Compliance Director to lead our global operations and ensure we maintain the highest standards of regulatory compliance.About the RoleDevelop and implement effective global compliance strategies, ensuring alignment with relevant regulations and industry best practices.Manage and oversee our global regulatory...


  • London, Greater London, United Kingdom Maldon Partners Full time

    Maldon Partners is a global alternative investment manager seeking a Senior Compliance Officer (VP) to cover maternity leave for 12-15 months. The firm has c$50bn AUM across four main business areas: Private Equity, Real Estate, Absolute Return Hedge Funds, and Credit Management.The successful candidate will work directly with the Chief Compliance Officer to...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    The Role: Our company, Compliance Professionals, seeks a seasoned professional to lead our global compliance efforts. As the Global Head of Compliance, you will be responsible for managing our relationships with regulatory bodies, advising business desks globally, and driving the implementation of regulatory developments.About the Position: You will oversee...


  • London, Greater London, United Kingdom Pacific Investment Management Co Full time

    About Pacific Investment Management Co.PIMCO is a global investment manager that seeks to deliver superior returns for its clients through active management of their assets. We have a proven track record of success in investing in all types of fixed income securities and derivative instruments. Our team is committed to helping our clients achieve their...


  • London, Greater London, United Kingdom MFS Investment Management Full time

    At MFS Investment Management, we are seeking a Compliance Specialist Manager to join our team. This is a critical role that requires a high degree of expertise in regulatory compliance and ability to lead cross-functional teams.The estimated salary for this position is $120,000 - $180,000 per year, depending on location and experience.About the RoleThe...


  • London, Greater London, United Kingdom 253 FIL Investment Management Ltd Full time

    About the OpportunityWe're looking for a Senior Manager, Investment Risk to join our Global Risk team in Fidelity. The role will support the oversight of fund market risk across all types of investment strategies, geographies, and global fund ranges.Using advanced analytics and risk frameworks, you will monitor risk concentrations and provide effective...


  • London, Greater London, United Kingdom JCR Talent ➡ Your Expert Partner for CASS & Compliance Recruitment Full time

    JCR Talent is delighted to be partnering with a leading Investments firm as they seek an experienced Compliance Manager.Key Responsibilities:Provide expert guidance to the business on regulatory matters, ensuring that investing products meet customer needs and comply with relevant requirements.Establish and maintain strong relationships throughout the...

  • Compliance Manager

    3 weeks ago


    London, Greater London, United Kingdom AXA Investment Managers Full time

    {"Job Title": "Compliance Manager", "Job Overview": "We are seeking a Compliance Manager to join our team at AXA Investment Managers. This is a critical role that will involve managing compliance advisory teams and providing senior compliance advice to our UK entities.", "Key Responsibilities": "Manage a team of 5 direct reports, providing guidance and...


  • London, Greater London, United Kingdom MFS Investment Management Full time

    At MFS Investment Management, we are dedicated to building a culture that supports our values and fosters a collaborative work environment. Our team works together to achieve better outcomes, prioritizing the strongest idea over the strongest individual.The Compliance Lead Specialist RoleThe Compliance Lead Specialist will interact with Compliance Department...

  • Compliance Expert

    7 days ago


    London, Greater London, United Kingdom Pacific Investment Management Co Full time

    Job SummaryPacific Investment Management Co. is seeking a highly skilled Compliance Expert to join our EMEA Regulatory Compliance team in London. The ideal candidate will have extensive knowledge of EMEA regulatory frameworks, particularly in relation to Client Facing Activities, Marketing, and Environmental, Social, and Governance (ESG) considerations.Key...


  • London, Greater London, United Kingdom Top-Tier Global Investment Bank Full time

    About the RoleWe are seeking a highly skilled and experienced Lead Quantitative Research Manager to join our team at a Top-Tier Global Investment Bank.Company OverviewThe award-winning global long-short equity manager has a superb track record of consistently outperforming equity markets over a cycle. They follow a rigorous fundamental research process,...


  • London, Greater London, United Kingdom JCR Talent ➡ Your Expert Partner for CASS & Compliance Recruitment Full time

    JCR Talent, your expert partner for CASS and compliance recruitment, presents an exciting opportunity for an Investment Compliance Specialist.About the Role:To provide comprehensive regulatory expertise to our client, helping them build innovative investing products that deliver great customer outcomes.Develop and maintain effective relationships across the...


  • London, Greater London, United Kingdom Jupiter Full time

    About JupiterJupiter is a leading investment management company with a strong presence in the UK and globally. With over 500 employees and £51.4 billion in assets under management, we provide investment services to individual and institutional investors through various channels.Our company culture emphasizes the importance of active, healthy lifestyles, and...


  • London, Greater London, United Kingdom British Columbia Investment Management Corporation Full time

    Company OverviewBritish Columbia Investment Management Corporation (BCI) is a world-class organization that offers an exceptional opportunity to work in a west coast setting. With $233 billion of gross assets under management, BCI provides investment management services to British Columbia's public sector. We invest globally across a range of asset classes...


  • London, Greater London, United Kingdom AXA Investment Managers Full time

    About the RoleWe are seeking a Compliance Manager to join our team at AXA Investment Managers. This is an exciting opportunity for a Compliance professional to work in a dynamic and fast-paced environment.Key ResponsibilitiesThe Compliance Manager will be responsible for providing regulatory expertise and guidance to our investment teams. This will...