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Compliance Officer

Salary Competitive
Type Permanent
Location London
Sectors Compliance
Job Reference T3A/JOES/29735
Contact Joe Smith
Date posted 04-09-2018

A Leading Investment Manager is looking for a Compliance Officer to support the Compliance Managers and the Director of International Compliance in their London Office.

Main Responsibilities:

• Actively delivering consultative compliance support to the Equity and Fixed Income investment business and support functions as a contact point for Investment Professionals
• Using regulatory knowledge and judgement to research and respond to trading issues and provide resolutions an interpretive guidance on trading manual guidance
• Researching IPO and making decisions if a client could participate in an IPO or private placement and provide guidance on selling and transfer restrictions including safe harbors from US Securities law
• Provide insurance that business conducted with EMEA region complies with relevant laws and regulations (such as Licensing on Corporate and Individual level and maintaining up to date records on the firm’s licensed individuals)
• Responsible for the oversight and maintenance of Regulatory calendar, responding to queries from the regulatory authorities and assisting with regulatory inspection visits
• Provide consultative support and advice on Code Ethics and Conduct (Code) and advice the investment business when conflicts of interest may arise

Skills and Qualifications requirements:

• Undergraduate degree or equivalent with Professional qualification such as CISI desired.
• Minimum of 5 years working knowledge of compliance within an assent management company
• Knowledge of UK regulatory regime and FCA regulations and direct relevant experience
• Sound knowledge of EMEA regulatory practices, desirable.
• Good product knowledge – US mutual funds, UCITS products and separate account strategies

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

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Contact Joe about this job

AVP, Consultant