Investment Operations Compliance Specialist

PIC; City Of London; On-site; GBP 60,000 - 80,000; Full time

Job summary

A prominent investment firm in London is seeking a Compliance Officer to establish and oversee compliance controls within its Investment Operations department. The ideal candidate will have strong analytical skills and experience with the Aladdin investment platform, ensuring adherence to regulatory requirements and internal guidelines across investment portfolios. The role offers a competitive salary and extensive benefits including private medical insurance and generous leave.

Benefits

Private medical insurance

28 days annual leave

Study support with qualifications

Qualifications

• Experience coding and testing complex rules on the Aladdin platform.
• Familiar with compliance portfolio composition and investigating breaches.
• Understanding of financial instruments and trade lifecycle.

Responsibilities

• Ensure investment portfolios adhere to regulatory requirements.
• Conduct pre and post trade compliance monitoring and investigation.
• Work with Investment teams and stakeholders on compliance issues.

Skills

Strong analytical skills

Attention to detail

Organisational skills

Strong communication skills

Commercial judgement

Tools

Aladdin investment platform

Regulatory frameworks

Job description

Role Purpose

This newly established role within PIC’s Investment Operations department is focused on building and overseeing compliance controls for both pre-trade and post-trade activities. It will involve systematic monitoring, investigation, and resolution across all PIC investment portfolios.

Key Responsibilities

• Ensure that investment portfolios adhere to regulatory requirements, internal guidelines / policies, and risk appetites
• Pre and post trade compliance monitoring across investment portfolios, investigating and escalating compliance breaches where required, working with Investment teams, Risk, and other stakeholders

Knowledge, Skills, and Abilities

Key skills:

• Strong analytical skills, particularly with data, and an attention to detail
• Confident working with public and private assets data attributes that support the compliance function
• Interpretation and application of regulatory guidelines and PIC specific investment restrictions as specified, in line with the firm’s risk appetite

Technical

• Experience of coding and testing complex rules and constraints, on the Aladdin investment platform – Essential
• Investigating and resolving compliance portfolio composition breaches
• Familiar with regulatory frameworks and the implementation of trading compliance rules
• Awareness of operational and risk control frameworks, audit processes and documentation standards
• Experience in working closely with Compliance, Investment, Risk, Data and Operational teams in a middle office / trade Support function
• Strong understanding of financial instruments, portfolio structures, trade lifecycle
• Good technical knowledge of public and private assets data attributes and external market vendor data required to deliver compliance capabilities
• Beneficial to have exposure to derivative products

Personal

• Strong analytical skills, attention to detail
• Strong organisational skills
• Strong communication skills
• Ability to persuade and influence both directly and indirectly
• Ability to organise work to meet deadlines
• Ability to work within defined procedures as recommended by functional teams
• Commercial judgement

DE&I at PIC

At PIC, we believe that true innovation stems from embracing diverse perspectives, backgrounds and experiences. We are committed to building a workplace where every individual, regardless of race, gender identity, sexual orientation, disability, age, religion, or socio-economic background, feels valued, heard and empowered to succeed. We hold ourselves accountable through ongoing initiatives, such as inclusive hiring practices, and equitable career development opportunities that support belonging and community. While we’re proud of our progress, we recognise there’s work ahead, and we remain dedicated to listening, learning and evolving together.

In addition to a competitive base salary and the opportunity to participate in our annual, performance-related bonus plan, upon joining us here at Pension Insurance Corporation, you will get access to some great benefits, including private medical insurance, 28 days\' annual leave (excluding bank holidays), study support with qualifications, a generous pension scheme and much more.