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Investment Compliance Specialist

2 months ago

London, Greater London, United Kingdom Jupiter Asset Management Ltd Full time

About Jupiter Asset Management Ltd

Jupiter Asset Management Ltd is a leading investment management company with a strong presence in the UK and international markets. With a team of over 500 employees, we manage assets worth £51.3 billion.

We provide investment services to individual and institutional investors through a range of products, including mutual funds, separately managed accounts, and sub-advised funds. Our investment services are designed to meet the diverse needs of our clients, and we strive to deliver exceptional investment performance.

Our Culture

We value a culture of collaboration, innovation, and excellence. Our employees are our greatest asset, and we invest in their growth and development to ensure they have the skills and knowledge needed to succeed in their roles.

Job Summary

We are seeking a highly skilled Compliance Officer to join our team. The successful candidate will provide oversight and advisory services to ensure that our investment activities remain in line with regulatory obligations and risk appetites.

Key Responsibilities

  • Provide oversight and advisory services to ensure compliance with regulatory requirements and risk management policies.
  • Contribute to the execution of the compliance monitoring programme through thematic review work and ongoing monitoring and surveillance activities.
  • Provide oversight and advice on investment-related processes, including trade orders, eligible markets and instruments, and Market Abuse Regulations.
  • Provide proactive advice and insight into investment management-related regulatory change and oversee the implementation of such change from a second-line perspective.
  • Assist in the investigation of potential conflicts of interest in respect to investment management and agree/test controls for appropriate management of such conflicts.
  • Work closely with the Portfolio Compliance team to provide advice and oversight on mandate adherence.
  • Assist with the maintenance of investment-related policies and procedures, ensuring they remain fit for purpose through regular review.
  • Support the broader compliance team to ensure continuity of compliance-related activities as and when required.
  • Ensure effective cross-skilling to support the broader department.

Desired Skills and Experience

  • 3+ years of investment management compliance experience.
  • Proven experience supporting an investment compliance framework.
  • Strong interpersonal and organisational skills.
  • Good communication skills and ability to build strong relationships across the compliance team and broader business.
  • A proactive nature and pragmatic work ethic.
  • Ability to work to strict deadlines and work under pressure.
  • Ability to investigate issues and proactively problem solve.
  • Demonstrated ability to communicate comfortably with senior management.
  • Analytical, high level of data literacy, and able to drive automation and smarter ways of working.

Additional Role Details

  • This role is subject to the Conduct Rules set by the FCA.