Compliance Manager - 18 month fixed term contract

Pictet; London; On-site; GBP 60,000 - 90,000; Full time

Job summary

A leading financial institution seeks a Compliance Manager for an 18-month fixed-term contract in London. This role involves developing compliance frameworks in Investment and Trading, with a focus on regulatory adherence and fostering a positive compliance culture. Candidates should have a strong background in asset management compliance and excel in analytical and communication skills.

Qualifications

• Minimum of 3 years’ proven experience in a similar role, preferably within asset management.
• Strong knowledge of FCA rules and regulations.
• Up-to-date knowledge of compliance regulatory practices.

Responsibilities

• Implement compliance monitoring for Investment and Trading.
• Conduct E-Communications monitoring for violations.
• Monitor compliance with PAM Code of Ethics.

Skills

Analytical skills

Organizational skills

Problem-solving

Communication

Team collaboration

Job description

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Compliance Manager - 18 month fixed term contract, London

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Client:

Pictet

Location:

London, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Reference:

Job Views:

4

Posted:

02.06.2025

Expiry Date:

17.07.2025

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Job Description:

Your team

The Pictet Group is one of the world’s leading independent wealth and asset managers. Founded in 1805 and headquartered in Geneva, Switzerland, the Group is represented in 30 offices in financial centres worldwide, currently employing over 5300 people. Pictet has been present in London since 1980, and employs near 400 people.

Pictet Asset Management manages the assets of some of the world’s largest institutions, financial intermediaries and their clients. Our culture welcomes independent thinkers and centres around investment excellence, a long-term perspective and a dedication to client service.

The Pictet Asset Management Compliance Team is organised around three main areas: Distribution, Trading & Investment, and Core Compliance. This position is part of the Trading and Investment pillar based in London, primarily responsible for compliance monitoring tasks within this area. The role reports directly to the Co-Head of Trading and Investment Compliance, also located in London.

Your role

• Define and implement Investment and Trading Compliance framework including best execution, market abuse, fair & timely trade allocation, and cross trades.
• Perform the Compliance Monitoring Plan (CMP) control testing related to Investment and Trading Compliance.
• Monitor Equity and Fixed Income Best Execution (L2) ensuring adherence to regulatory requirements and industry best practice.
• Support the Gatekeeper within Equity and Fixed Income, ensuring compliance with PAM Gatekeeper policies and procedures.
• Conduct E- Communications monitoring to detect any violations or irregularities.
• Conduct regular and periodic ad hoc and thematic reviews.
• Monitor compliance with the PAM Code of Ethics, particularly regarding employee’s outside business activities.
• Develop expertise within fixed income and equities investment management & trading areas, offering practical guidance and pro-active advice on Compliance policies and procedures to fund managers, traders, and local compliance on a timely basis.
• Support the broader compliance team to ensure continuity of compliance related activities as and when required.
• Assist with the maintenance of Investment and Trading Compliance related policies and procedures, ensuring they remain fit for purpose.
• Promote a positive compliance culture through communication and monitoring of regulatory obligations across all levels.

Your profile

• Minimum of 3 years’ proven experience in a similar role preferably within an asset management firm.
• Strong knowledge of FCA rules and regulations coupled with sound knowledge of the financial services sector including up-to-date relevant knowledge of best compliance regulatory peer practice.
• Effective analytical and organisational skills coupled with the ability to handle multiple tasks with attention to detail despite strict deadlines.
• Driven to take ownership, you will investigate issues and proactively problem solve.
• Ability to communicate confidently and proactively with senior management as well as other senior compliance stakeholders.
• Collaborative in your approach; keen to be part of a small, open, and communicative team.

Depending on your level of experience, this role could be offered as either Compliance Officer or Compliance Manager.

Note

We will not accept any CVs via agencies.

Diversity & Inclusion

Pictet is an equal opportunity employer and is committed to creating a diverse environment. We respect all individuals and seek their inclusion in the workplace.