Compliance Officer | London, UK | Hybrid

Maldon Partners; London; Hybrid; GBP 65,000 - 75,000; Full time

Job summary

Une entreprise de gestion d'actifs primée basée à Londres recherche un Compliance Officer expérimenté pour rejoindre son équipe. Le rôle implique la surveillance quotidienne de la conformité, ainsi que des responsabilités de reporting auprès des régulateurs. Le candidat idéal devra posséder une solide expérience en conformité et d'excellentes compétences en communication.

Qualifications

• Minimum 3 ans d'expérience en conformité dans une société de gestion d'actifs.
• Bonne connaissance des réglementations de marketing au Royaume-Uni et à l'international.
• Expérience précédente en monitoring de conformité (non AML/KYC).

Responsibilities

• Responsable de la surveillance quotidienne de la conformité.
• Suivi mensuel de la conformité (meilleure exécution et allocation).
• Reporting réglementaire à la FCA et SEC.

Skills

Communication verbal et écrit

Proficience en Excel

Proficiency in PowerPoint

Job description

A rare opportunity has arisen for an experienced buy-side compliance officer to join an award-winning asset management firm based in the City of London.

Maldon Partners are recruiting a Compliance Officer for an award-winning asset management firm located in the City of London.

The firm has an AUM of approximately £22BN and 80 employees in its London offices. It has a global footprint and a great family-like culture.

The role requires an experienced buy-side compliance officer who is approachable and experienced in dealing with the front office.

Hybrid working: 3 days in the office.

The Role:

Reporting directly to the CCO and working alongside two compliance analysts, the role holder will be responsible for day-to-day compliance monitoring activities.

Responsibilities will include but are not limited to:

• Monthly compliance monitoring (best execution and allocation)
• Review of financial promotions and cross-border distribution material (marketing material)
• Regulatory reporting to FCA and SEC
• Review and update compliance manual, policies, and procedures
• Development and distribution of training programmes

Experience Required:

• A minimum of 3 years' compliance experience in an investment or asset management firm
• Good knowledge of UK and international marketing regulations
• Previous compliance monitoring experience (NOT AML/KYC)
• Core compliance experience (monitoring, policies and procedures, preparing MI and regulatory reporting)
• Proficiency in Excel and PowerPoint
• Excellent verbal and written communication skills

The Compliance Officer role has a base salary of £65,000 - £75,000 depending on experience, plus hybrid working.

*Please note only candidates who meet the above criteria will be contacted.

Maldon Partners is a headhunting firm focused on clients within the financial services space. We have dedicated teams focused on finance, regulatory, and related areas.

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