Compliance Officer (Part Time) SMF16/17

Compliance Professionals; Greater London; On-site; GBP 40,000 - 52,000; Part time

Job summary

Compliance Professionals in Central London seeks a Part-Time Compliance Officer to support and enhance the firm's regulatory framework. This hands-on role works in a fast-moving, collaborative environment with exposure to FCA rules, market abuse controls, and investment processes.

You will assist with monitoring programmes, conduct surveillance, contribute to regulatory filings, and help onboarding, training, and audits.

Qualifications

• Experience in investment management compliance.
• Strong understanding of UK FCA rules and market abuse.
• Familiarity with NFA and SEC requirements.
• Experience supporting front-office investment activity and trade surveillance.
• Excellent attention to detail with ability to manage multiple priorities.

Responsibilities

• Monitor and enhance the firm's compliance framework, policies, and procedures.
• Deliver the Compliance Monitoring Programme and thematic reviews.
• Monitor trading activity against regulatory requirements and internal controls.
• Conduct surveillance for market abuse, personal account dealing, communications, and conflicts.
• Support regulatory filings and reporting obligations (FCA, NFA, SEC).
• Provide compliance guidance to investment professionals and business teams.
• Support onboarding and due diligence for counterparties, brokers, vendors.
• Maintain and review gifts, conflicts, and insider lists.
• Review marketing materials and financial promotions.
• Assist with compliance training delivery.
• Support regulatory examinations, audits, and investor DD requests.
• Contribute to regulatory change projects and process improvements.
• Keep up to date with regulatory developments.

Skills

Regulatory compliance

UK FCA rules

Trade surveillance

Front-office experience

Attention to detail

Multitasking

Job description

THE COMPANY:

Our client is a multi-strategy investment management business in Central London. They are seeking a Part-Time Compliance Officer, this is a broad, hands‑on role within a collaborative and fast‑moving environment

THE RESPONSIBILITIES:

• Supporting the ongoing monitoring and enhancement of the firm’s compliance framework, policies, and procedures.
• Assisting with the delivery of the Compliance Monitoring Programme and thematic reviews.
• Monitoring trading activity and investment processes against regulatory requirements, fund restrictions, and internal controls.
• Conducting surveillance across areas including market abuse, personal account dealing, communications monitoring, and conflicts of interest.
• Supporting regulatory filings and reporting obligations, including FCA, NFA, and SEC submissions.
• Providing practical compliance guidance to investment professionals and wider business teams.
• Supporting onboarding and due diligence processes for counterparties, brokers, vendors, and service providers.
• Maintaining and reviewing compliance registers, including gifts and entertainment, conflicts, and insider lists.
• Reviewing marketing materials and financial promotions.
• Assisting with the preparation and delivery of compliance training.
• Supporting regulatory examinations, audits, and investor due diligence requests.
• Contributing to regulatory change projects, process improvements, and wider compliance initiatives.
• Keeping up to date with relevant regulatory developments.

EXPERIENCE REQUIRED:

• Compliance experience within an investment management firm, hedge fund, or asset manager.
• Strong understanding of the UK regulatory environment, including FCA rules and market abuse regulations.
• Familiarity with NFA and SEC requirements.
• Experience supporting front-office investment activity and trade surveillance processes.
• Excellent attention to detail and the ability to manage multiple priorities in a fast‑paced environment.

For further information please contact Spencer Evans