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Compliance Officer - Asset Management / Investment Management

  • Location East London
  • Job type Permanent
  • Reference LUTERAMCO

An asset management business are looking to hire a Compliance Officer.

Key responsibilities:

  • Deep technical FCA regulatory knowledge for the asset management sector and the rules which apply to the business
  • Detailed understanding of MiFiD II, AIFMD, SMCR and other relevant European and/or US Regulation
  • Draft new policies in response to regulatory change
  • Maintenance and development of the Group Compliance Manual and risk and compliance monitoring programme
  • Review and sign-off of financial promotions
  • Working knowledge of AML and KYC

Successful candidates will have:

  • Significant compliance experience within asset management
  • Knowledge of AIFMD and SMCR as well as broader knowledge of the FCA handbook
  • Experience working with senior stakeholders