Compliance Officer - Maldon Partners

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

Job summary

A leading Asset Management firm in London is seeking an experienced Compliance Officer to oversee compliance monitoring activities. The role, offering a salary of £65,000 to £75,000, requires strong experience in compliance within investment management and good knowledge of UK regulations.

Qualifications

• Minimum of 3 years compliance experience in investment or asset management.
• Good knowledge of UK and international marketing regulations.
• Excellent verbal and written communication skills.

Responsibilities

• Conduct monthly compliance monitoring for best execution and allocation.
• Regulatory reporting to FCA and SEC.
• Review and update compliance manual, policies, and procedures.

Skills

Communication Skills

Compliance Monitoring

Policy and Procedures

Regulatory Reporting

Excel

PowerPoint

Job description

Job Description

MaldonPartners are recruiting a Compliance Officer for an award-winning Asset Management firm based in the City of London.

The firm has an AUM of approximately £22BN and 80 employees in the London offices. It has a global footprint and a great family-feel 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 2 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 promotion 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
• Ad hoc project work

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, policy and procedures, preparing MI and regulatory reporting)
• Good command of Excel and PowerPoint
• Excellent verbal and written communication skills

Salary:

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.