Chief Compliance Officer | Investment Manager

JR United Kingdom; London; On-site; GBP 70,000 - 120,000; Full time

Job summary

An established industry player is seeking a Chief Compliance Officer to lead a dedicated team in compliance and regulatory matters. This role offers an exciting opportunity to shape compliance strategies within a well-respected investment management firm during a period of growth. The ideal candidate will bring extensive experience in compliance, particularly within the buy-side sector, and possess a deep understanding of FCA regulations and other relevant compliance frameworks. Join a dynamic team where your expertise will play a vital role in navigating regulatory complexities and ensuring adherence to industry standards.

Qualifications

• Extensive experience as a Chief Compliance Officer or senior compliance professional.
• Deep knowledge of FCA regulations and familiarity with US regulations.

Responsibilities

• Advising the Board on compliance and regulatory matters.
• Managing regulatory reporting and filings.
• Drafting and updating compliance policies and procedures.

Skills

FCA regulations

AIFMD

MiFID II

US regulations (SEC and CFTC)

Analytical skills

Problem-solving abilities

Effective communication

Project management

Job description

Chief Compliance Officer | Investment Manager, London

Client:

Location:

London, United Kingdom

Job Category:

Other

EU work permit required:

Yes

Job Views:

3

Posted:

05.05.2025

Expiry Date:

19.06.2025

Job Description:

We are partnering with a leading investment manager to find an experienced regulatory professional to take on the role of Chief Compliance Officer and lead a small team.

This is an excellent opportunity to join a well-established yet agile firm, highly regarded in the industry, at an exciting time of growth and expansion.

Responsibilities include:

1. Advising and reporting to the Board on compliance and regulatory matters, keeping them updated on key regulatory risks, processes, and developments.
2. Building and maintaining strong relationships with the FCA.
3. Ensuring compliance with SEC, CFTC, and NFA regulations as applicable.
4. Managing all regulatory reporting and filings.
5. Monitoring and managing conflicts of interest, including MNPI, MAR, and Expert Networks.
6. Providing real-time compliance advisory support and guidance on new business initiatives.
7. Drafting and updating policies and procedures.
8. Identifying regulatory changes and leading their implementation.
9. Supporting ongoing compliance with the Senior Managers and Certification Regime.
10. Reviewing and approving marketing materials in the UK, US, and Europe.

Skills and Qualifications:

1. Extensive experience as a Chief Compliance Officer or senior compliance professional in a buy-side firm, preferably with credit exposure.
2. Deep knowledge of FCA regulations, AIFMD, and MiFID II; familiarity with US regulations (SEC and CFTC) is a plus.
3. Understanding of current and upcoming regulatory requirements.
4. Attention to detail, analytical skills, independence, and problem-solving abilities.
5. Proactive, organized, and capable of managing multiple projects concurrently.
6. Effective communication skills and team-oriented approach.

Additional Notes:

Please note that if you are not a passport holder of the country for the vacancy, you might need a work permit. Check our Blog for more information.

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Created on 05/05/2025 by JR, United Kingdom