Investment Compliance Officer

We have an exciting opportunity for an experienced Funds compliance officer at a fast growing investment/asset management company. Currently, they have an AUM of around 50 billion pounds, and they have a mix of funds including AIFMD funds. This would be a generalist compliance role, and will be instrumental in advising the business in day-to-day activities as well as long-term strategic vision. This role would report directly into the GC and is part of a team of small compliance team.

They are an ambitious company that are expecting to grow significantly over the next 12/18 months. The role is based in London (the City) and they are looking for someone that is a team player, proactive and able/have experience of working with and advising the business on Compliance/regulatory matters.

Responsibilities:

• Compliance Monitoring Programme: Devising, undertaking, and reporting on the compliance testing programme.
• Compliance Manual and Policies: Maintaining the Compliance Manual and compliance related policies.
• Regulatory risk management.
• Compliance and Regulatory reporting.
• Regulatory developments: Capturing any changes in the regulatory environment relevant to the firm. Acting as the internal subject matter expert and operational first point of contact for any larger regulatory projects.
• Anti-Money Laundering (AML) and Financial Crime: Taking operational responsibility for the maintenance and delivery of AML and financial crime regime.
• Market Abuse.
• Training and advice.
• Marketing: Reviewing and signing off all external communication documentation and financial promotions to ensure they are fair, clear and not misleading.
• Product Launch: Being involved in product launch projects to ensure all regulatory requirements are taken into consideration regarding the launch of the new funds, and that all regulatory documentation is sent to the FCA within the required time limits.
• Assisting the Chief Legal & Compliance Officer and Senior Investment Compliance Officer.

Required experience and Knowledge:

• Ideally CISI Diploma in Investment Compliance or equivalent (or working towards), with demonstrable compliance skills and regulatory knowledge.
• Detailed, working knowledge of relevant regulatory requirements, in particular subject expertise on the following regulations: AIFMD, MiFID II, SMCR, and obligations set out in the FCA Handbook as they apply to firm.
• A proactive, self-motivated team player who can work independently with minimal supervision, manage a high personal workload with multiple deadlines and continually strive for improvements in quality, efficiency and presentation.
• At least 5 years' financial sector work experience, preferably with exposure to oversight within a FCA regulated entity.
• Knowledge of a variety of asset classes, including more illiquid types such as infrastructure and real estate.
• Knowledge of the major types of derivatives and their use.
• Knowledge of different fund structures, including hedge funds.

For a confidential chat about this or other roles he is handling please contact Matt Pollard in the Jameson Legal London office at:

Please note that where a level of preferred experience or qualification is indicated, this is a guideline only and does not preclude applications from candidates with more or less experience.

Jameson Legal acts as an employment business for temporary recruitment and as an employment agency for fixed term contract and permanent recruitment.