Senior Compliance Officer

3 weeks ago

London, UK, United Kingdom Jupiter Asset Management Ltd Full time
The Value of Active Minds

About Jupiter

Jupiter is one of the UK's leading investment management companies with over 500 employees and £51.3 billion worth of assets under management (as at 30th June 2024).

Jupiter provides investment services to individual and institutional investors through mutual funds (UK unit trusts, Luxembourg SICAVs and Dublin OEICs), separately managed accounts and sub-advised funds. Jupiter has experienced a period of international growth with offices open in EMEA and APAC.

The majority of our employees are based in our London office located just minutes from Victoria station which provides stair-free access from both the Underground's Victoria line and National Rail platforms, as well as limited road crossings to the Jupiter office. Our London office was designed to encourage employees to live active, healthy lives with floor-to-ceiling windows that allow for greater natural light and the benefit of a private balcony, table tennis room, cycle storage and on-site shower and locker facilities. The short distance to Green Park and St James' Park also provides employees with a natural space to relax during their lunch break and a healthy alternative to office-based meetings.

We offer our UK employees a 3:2 hybrid working arrangement where Tuesdays, Thursdays and a third day of your choice are worked from the office. The other two days may be worked from home. This facilitates collaboration and allows employees to maximise productivity whilst maintaining a healthy work/life balance.

Background

This is a key role within Compliance, providing support and advice to the Client Group to ensure that all marketing and distribution activities meet regulatory standards. The role will also involve providing compliance approval for marketing materials and supporting regulatory change that impacts distribution and marketing activities.

Key Responsibilities
  • Review advertising and marketing communications for Jupiter's range of funds (including UTs, SICAVs, Irish ICVCs and Investment Trusts, and segregated mandates) ensuring compliance with local regulatory requirements and general Consumer Duty principles. Documentation includes:
    • Marketing and advertising literature (adverts, factsheets, sales aids, brochures, presentations) targeting both retail and institutional audiences in the UK and multiple overseas jurisdictions including UK EMEA, Latam, Australia and US.
    • Fund documentation, including prospectuses, KIIDs and Report & Accounts
    • Social Media Posts
    • Group websites
    • Press releases
  • Provide constructive and accurate feedback following review of documentation ensuring that required amendments are made.
  • Maintain an up-to-date knowledge of relevant regulatory changes and the impact these may have on promotional activity and materials and support the business implementation of such changes.
  • Maintain and update Compliance-owned guidance and training materials. Review or provide input into business-owned procedures and processes.
  • Provide assistance and mentoring to other members of the Compliance team.
  • Maintain close working relationships with the Client Group and other stakeholders, offering pro-active, accurate and timely advice and support.
  • Investigating acceptable sales and marketing practices in new jurisdictions.
Desired Skills / Experience
  • 5 + years' experience from a similar role in asset management.
  • Knowledge of European and UK fund structures (UCITS, AIFs etc)
  • Knowledge of the UK and European regulatory framework, in particular the FCA and ESMA rules, or similar relevant experience with marketing and cross-border distribution rules. Knowledge of US marketing rules would be beneficial.
  • Understanding of the FCA Handbook, UCITS, MiFID II, AIFMD and SFDR requirements
  • Experience of developing constructive relationships in order to meet objectives.
  • European language skills (useful but not essential).
  • Attention to detail with the ability to apply compliance knowledge in the assessment of accuracy and suitability of documentation.
  • Ability to act diplomatically and use initiative.
  • Solutions oriented approach to work and ability to compromise.
  • A team player.
  • Ability to manage expectations.
  • Good communication skills.
  • Ability to assimilate issues and recommend appropriate corrective action.
  • Ability to raise and communicate complex issues accurately and succinctly to staff at all levels.
  • Self-motivated and able to work without close supervision.
  • Effective time management skills & ability to deliver in accordance with strict timetables.
  • Ability to develop and maintain good working relationships with colleagues and contacts within other business areas.
  • High standard of record keeping.
  • Experience of taking the initiative to solve problems and also of working as a team to meet common objectives.
Additional Role Details
  • This role is subject to the Conduct Rules set by the FCA.
Don't meet every requirement? At Jupiter we are dedicated to building a diverse and inclusive workplace, so if you are interested in this role, but don't think your experience aligns perfectly with every listed requirement in the job description, we would encourage you to apply. You may be the right person for this role.

  • Compliance Officer

    6 days ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a boutique Wealth Management/Private Client Stockbroking firm based in the City. They are looking for a Compliance Officer to support the Head of Compliance to ensure that the firm meets its regulatory requirements.THE RESPONSIBILITIES:To carry out activities, as allocated, in line with the compliance department areas of...

  • Compliance Officer

    4 days ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY:Our client is a successful Private Bank based in the City. They are looking for a Compliance Officer with Wealth/Asset Management experience in Policy and Advisory.THE RESPONSIBILITIES:To carry out activities, as allocated, in line with the compliance department areas of responsibility to help mitigate conduct and regulatory risks.To support...

  • Compliance Officer

    3 months ago

    London, UK, UK, United Kingdom AJ FOX COMPLIANCE Full time

    Are you a highly skilled and dedicated professional with expertise in Anti-Money Laundering (AML) sanctions and compliance?An exceptional opportunity has arisen for a remote Compliance Officer within an International law firm.In this role, you’ll handle a broad range of compliance, conflicts and AML issues and have the chance to handle escalations from...

  • Global Head of Compliance

    2 months ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a world-leading specialist broker based in the City. They are looking for a Global Head of Compliance, with demonstrated broking or prime broking experience.THE RESPONSIBILITIES:Management of global regulatory relationships.Advisory coverage of all business desks globally in conjunction with the local Compliance Officers.Oversight...

  • Senior Compliance Executive

    6 days ago

    London, UK, UK, United Kingdom AJ FOX COMPLIANCE Full time

    Are you passionate about navigating complex risk and regulatory challenges? Looking for an opportunity where your expertise in risk and compliance will be valued and make a difference?If you're a proactive problem solver with a passion for risk management, we want to hear from you!An innovative, forward-thinking law firm is seeking a Senior Compliance...

  • Compliance Associate

    2 months ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: We are working with an institutional commodities broker who are searching for a Compliance Associate to join the team. Centrally located in the city, the client are looking for a generalist compliance candidate to bring some expertise and knowledge to the team.THE RESPONSIBILITIES:Support ongoing annual compliance programme delivery: review of...

  • Senior Compliance Officer

    4 months ago

    London,, UK, United Kingdom Profectus Recruitment Full time

    Profectus is working with a global fintech organisation looking for Senior Compliance Officer. The ideal candidate for this role will have key experience with investment service regulations. You will be working for an impressive global company that promotes a positive work culture. This is a Hybrid role with three days in the office a week. They’re located...

  • Head of Compliance

    2 months ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a leading Forex and CFD brokerage firm, seeking a Head of Compliance THE RESPONSIBILITIES:Stay updated on all pertinent FCA regulations Serve as the primary point of contact for regulatory inquiries and examinationsOversee and maintain the firm's policies and procedures to ensure they remain effective and up to date.Develop and...

  • Compliance Analyst

    4 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a leading Asset Manager based in London who currently have c£5bn AUM. They are looking to hire a Compliance Analyst on a 12 month FTC.THE RESPONSIBILITIES:Best execution outlier monitoring and improvements (using LiquidMetrix)Investigating Market Abuse escalations (we outsource the initial case load)Bloomberg Vault Comms...

  • Risk & Compliance Lawyer

    6 days ago

    London, UK, UK, United Kingdom AJ FOX COMPLIANCE Full time

    Are you a qualified solicitor with 5+ years PQE?Do you have experience in complaints handling, regulation or contracts?Are you looking for your next law firm risk and compliance role?If this sounds like you, keep reading.A forward-thinking, ambitious Law Firm is looking for a Risk & Compliance Lawyer to join their Risk & Compliance team in London.The ideal...

  • Senior Compliance Officer

    6 days ago

    London,, UK, United Kingdom MERJE Full time

    A Senior Compliance Officer is required to play a pivotal role in shaping the future of this global financial services firm's compliance function as it expands its OTC derivatives offering and positions itself as a Systematic Internaliser (SI). As a Senior Compliance Officer, you will serve as the key compliance expert for the growing compliance...

  • Compliance Associate

    2 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    THE COMPANY: Our client is a specialist Real Estate Investment firm. This is a generalist role but candidates must have exposure to Financial Promotions.THE RESPONSIBILITIES:Responsible for social media/LinkedIn reviews Support/manage review of Financial Promotion and other marketing presentations/materialsManage ongoing investor/key supplier due-diligence...

  • Senior Compliance Officer

    4 weeks ago

    London,, UK, United Kingdom Selby Jennings Full time

    A prestigious hedge fund with a global presence are seeking a highly skilled Compliance Testing Officer to join their growing team in London. This role is pivotal in ensuring the firm’s adherence to regulatory requirements and internal policies across their global operations.Job Summary: As a Compliance Testing Officer, you will be instrumental in...

  • Senior Compliance Officer

    2 months ago

    London,, UK, United Kingdom Q Networkers Ltd Full time

    Senior Risk & Compliance Officer (Investment Management) - 12 Month Contract - £70k - £80kRole and responsibilitiesTo provide compliance advice and guidance to business stakeholders to facilitate delivery of (a) good client outcomes, (b) a compliant and risk aware culture and (c) the Group’s business model and strategy.Key ResponsibilitiesCompliance...

  • Senior Compliance Officer

    1 month ago

    London,, UK, United Kingdom Nicholas Howard Ltd Full time

    Nicholas Howard are delighted to be recruiting for a Senior Compliance Officer to join a well established and growing specialist FCA regulated mortgage lending client, supporting the ongoing development of the compliance function. As a fast moving business, there is a great opportunity here for an ambitious and driven compliance professional to really make...

  • Compliance Manager

    6 days ago

    London, UK, UK, United Kingdom AJ FOX COMPLIANCE Full time

    Our client, a prestigious law firm based in London, is seeking an experienced Compliance Manager to lead their new risk and compliance team. This is a fantastic opportunity for a compliance professional with a passion for financial crime prevention, client onboarding, and team leadership.As the Compliance & Risk Manager, you’ll be responsible for...

  • Head of Compliance/Senior Compliance Officer

    2 weeks ago

    London,, UK, United Kingdom One Ten Associates Full time

    One Ten Associates are exclusively partnering with an exciting Private Credit Fund that is looking to hire an experienced Compliance professional, joining the London office. As the first dedicated compliance hire, you'll be expected to help build, oversee and manage the compliance programme across the UK and US. Within time, you'll become the funds...

  • Compliance Officer

    2 weeks ago

    London,, UK, United Kingdom UNCOVER Full time

    An ambitious, Global firm are looking for a Compliance Officer to join their Business Acceptance Team. This firm is committed to fostering an inclusive, dynamic environment where your potential can be fully realised. You'll have the opportunity to take ownership of your career, with the support and resources to enable you to succeed from the offset. You...

  • Compliance Officer

    6 days ago

    London,, UK, United Kingdom FS Talent Group Full time

    Compliance OfficerLondonAlternative Investment Fund Manager£100k - £150k PLUS bonusAbout the Firm:Our client is a globally recognised boutique investment management firm specialising in alternative investment strategies, including discretionary global macro strategies. With offices across Europe, the USA, Asia, and the UAE, the firm manages a diverse...

  • Senior Compliance Officer

    2 months ago

    London,, UK, United Kingdom Merje Full time

    MERJE is delighted to be partnering with an established and highly reputable global Hedge Fund in their search for a Senior Compliance Officer for their London office.This prestigious Hedge Fund has a long standing history of excellence and innovation in the financial sector. With a strong focus on client satisfaction and ethical practices, the company...