Senior Central Compliance Officer

Jupiter Asset Management Ltd; London; On-site; GBP 50,000 - 80,000; Full time

Job summary

A leading company in asset management is seeking a Compliance Officer to support their compliance framework and regulatory obligations in London. The role includes monitoring adherence to compliance standards, contributing to regulatory changes, and providing oversight for various compliance-related issues. The ideal candidate will possess strong analytical and problem-solving skills, alongside a thorough understanding of regulatory requirements such as EMIR and MIFID, ensuring effective compliance measures are implemented across the organization.

Qualifications

• Strong interpersonal skills and ability to build relationships.
• Deep understanding of MIFID requirements as they apply to asset management.
• Experience in CASS, EMIR, and MIFIR regulation.

Responsibilities

• Support compliance framework and monitor adherence across Jupiter.
• Contribute to regulatory change delivery as a subject matter expert.
• Provide oversight on regulatory reporting and compliance activities.

Skills

Interpersonal Skills

Analytical Skills

Problem-solving Skills

Data Literacy

Adaptability

Tools

Microsoft Power Platform

Job description

Responsibilities

• Support the Head of Central Compliance through the provision of a robust and fit-for-purpose central compliance framework, including but not limited to personal account dealing, inducements, conflicts of interest, and training.
• Monitor adherence to the central compliance framework across Jupiter and assist in delivering management information to the Head of Compliance and other senior/line managers regarding conduct-related issues.
• Contribute to proactive regulatory change delivery by researching and acting as a subject matter expert on specific regulatory changes, providing responses/lobbying through industry trade bodies or standalone responses.
• Regularly review processes for alignment with peers, recommend efficiencies, and adopt automation where possible.
• Provide second-line oversight and challenge regarding CASS arrangements, oversee CASS resolution packs, sign off client money accounts, and review CASS breaches for materiality, making regulatory notifications as required.
• Oversee EMIR and MIFIR reporting arrangements, review processes, and provide SME advice on regulatory requirements and changes in the UK and Europe. Review breaches, enhance controls, and coordinate notifications to regulators.
• Support Data Protection compliance, assist with DSARs, and participate in the Data Protection Forum.
• Provide technical advice on conflicts identification and control assessments, conducting assurance testing as needed.
• Raise awareness of compliance policies through engagement, meetings, publications, and presentations.
• Contribute to regulatory reporting, including DTR, Companies Act, POTAM, SSR, and other trade-related reports, excluding EMIR and MIFIR reporting. Assist with AIFM reporting as needed.
• Support the wider compliance team to ensure continuity of compliance activities.

Desired Skills / Experience

• Strong interpersonal skills and ability to build relationships within the compliance team and broader business.
• Commercial mindset, proactive, pragmatic work ethic.
• Ability to meet strict deadlines and work under pressure.
• Investigative and problem-solving skills.
• Experience in process reviews and enhancements, including using low-code/no-code solutions like Microsoft Power Platform.
• Ability to work holistically across monitoring and advice, considering regulatory risks and process implications.
• Data literacy and strong analytical skills.
• Deep understanding of MIFID requirements as they apply to asset management.
• Experience in CASS, EMIR, and MIFIR regulation.
• Prior GDPR experience.
• Proactive, solutions-oriented, and commercially minded.
• Decisive in risk-based decision-making aligned with Jupiter's risk appetite.
• Clear communication and presentation skills, comfortable with all levels of stakeholders.
• Experience in regulatory change implementation.
• Comprehensive understanding of asset management, UCITS regulation, distribution channels, markets, and instruments.
• Experience navigating global regulatory rules.

Additional Role Details

• This role is subject to FCA Conduct Rules.

Don't meet every requirement? At Jupiter, we value diversity and inclusion. If you're interested but feel your experience doesn't align perfectly, we encourage you to apply. You might be the right fit for this role.