Depository & Custody Compliance Lead

Apex Group; City Of London; On-site; GBP 70,000 - 100,000; Full time

Job summary

Apex Group is seeking a Compliance Officer for Depository and Custody Compliance in London. You will report to the UK Head of Depositary and Custody Compliance and help drive a risk-based compliance framework across the Depository and Custody businesses.

You will develop monitoring programmes, prepare reports for senior management, and advise on regulatory changes while coordinating with regulators, auditors, and clients. The role emphasizes proactive risk management and training.

Qualifications

• Regulatory knowledge and ability to interpret complex rules.
• Experience in risk-based compliance frameworks and monitoring.

Responsibilities

• Assist UK Head of Depositary and Custody Compliance to develop and implement the risk-based compliance framework.
• Develop and implement the risk-based compliance monitoring programme.
• Prepare and present reports on compliance and regulatory issues for senior management and board.
• Respond to enquiries from regulators, auditors or clients.
• Advise senior management on regulations and policies affecting the business.
• Keep abreast of industry and regulatory developments, reviews and enforcement actions.
• Represent Compliance in management meetings, committees and new initiatives.
• Support the wider Apex compliance team on Group initiatives.
• Create and maintain local compliance procedures and policies.
• Develop and deliver appropriate compliance training to Board members and employees.
• Prepare/review RegData/Connect reports for submission.
• Assist in business and client queries related to FATCA/CRS and submissions.
• Respond to ad-hoc requests in the compliance inbox.
• Manage and support team members.

Skills

Attention to detail

Deadline orientation

Client communication

Organisational skills

Multi-tasking

Job description

Apex Group is seeking a Compliance Officer for Depository and Custody Compliance in London. You will report to the UK Head of Depositary and Custody Compliance and help drive a risk-based compliance framework across the Depository and Custody businesses.

You will develop monitoring programmes, prepare reports for senior management, and advise on regulatory changes while coordinating with regulators, auditors, and clients. The role emphasizes proactive risk management and training.