Find a Job

View detailed job description

Compliance Officer

Salary Competitive
Type Permanent
Location London
Sectors Compliance
Job Reference T3A/JOES/29727
Contact Joe Smith
Date posted 03-09-2018

One of the world’s largest independent investment management firms is looking to hire a Compliance Officer with a particular focus on the UCITS regulatory framework to join their team in London.

Responsibilities will include:

• Partnering with the investment teams to provide guidance and advice on UCITS eligibility and be an integral part of UCITS Focus Group and Future State initiatives
• Reviewing client Investment Management Agreements, Prospectuses, Guidelines, RFPs and the like for potential regulatory issues with the investment strategies that the team uses.
• Build connections within the industry to marketplace and regulatory changes developments and ensure compliance with new investment, asset eligibility regulations and guidance that will impact clients based in the EMEA region
• Work closely with the Guideline Monitoring Analysts and liaising with Guideline Monitoring on the ongoing compliance of portfolios

Skills and Qualifications required:

• Significant experience gained within another blue chip investment manager
• In depth knowledge of portfolio management techniques across asset classes and various instruments and strategies used to meet client requirements
• Sound knowledge of regulations that impact the client base with good understanding of UCITS and its application.
• Strong ethics, judgment and organizational and analytical skills
• Proactive and self-motivated with ability to work independently.

If you are interested in applying for this position contact Joe Smith on 02031453376 or e-mail at

Ready to apply for this job? Apply Now

Contact Joe about this job

AVP, Consultant