Senior Compliance Officer

Bank Lombard Odier & Co; City Of London; On-site; GBP 70,000 - 90,000; Full time

Job summary

A leading global wealth manager in London is seeking a Senior Compliance Officer to support the compliance team. This role involves implementing compliance strategies, monitoring regulatory activities, and providing compliance advice. Candidates should have 5-10 years of experience in investment management, particularly in portfolio management compliance. This position promotes a diverse and inclusive work environment.

Qualifications

• 5-10 years of proven experience in investment management.
• Thorough understanding of FCA Rulebooks and Money Laundering regulations.
• Ability to work effectively under tight deadlines.

Responsibilities

• Design and implement the annual Compliance Plan.
• Lead LOIM Compliance Monitoring daily program.
• Provide timely compliance advice on financial services matters.

Skills

Portfolio management compliance

Attention to detail

Communication skills

Regulatory compliance

Education

Degree in legal, compliance or finance

Job description

Overview

Lombard Odier is a renowned global wealth and asset manager with a strong focus on sustainable investing. An innovative bank of choice for private and institutional clients, our independently owned Firm is one of the best-capitalised banking groups in the world, managing close to CHF 300 billion and operating from over 25 offices across 4 continents. With a history spanning over 225 years, Lombard Odier provides discretionary and advisory portfolio management, wealth services and custody, asset management services and investment strategies through Lombard Odier Investment Managers, and advanced banking technology to other financial institutions. "Rethink Everything" is our philosophy and is at the heart of our work, helping us provide a fresh investment perspective for our clients.

Lombard Odier Investment Managers ("LOIM") is the asset management business of the Lombard Odier Group. To strengthen our Compliance team, we are looking for a:

Senior Compliance Officer

The Senior Compliance Officer supports the Chief Compliance Officer (CCO) in London and the LOIM Compliance team on compliance with expertise in portfolio management and trading controls, ensuring that the firm remains fully compliant with all applicable regulations.

YOUR ROLE

• Contribute to the design and implementation of the annual Compliance Plan.
• Lead and manage the execution of LOIM Compliance Monitoring daily program across regulated activities, including:
• Portfolio management and trading oversight
• Conduct market abuse control surveillance and reviews
• Conflict of interest management
• Transaction reporting and best execution monitoring
• Stay abreast of regulatory developments, assess business impact, and support implementation of necessary changes.
• Provide timely and practical compliance advice on financial services matters, including new business initiatives.
• Ensure accurate and timely submission of regulatory filings and reports to the regulator.
• Promote regulatory awareness and foster a strong compliance culture aligned with business strategy.
• Uphold ethical standards and ensure staff compliance with the Code of Ethics and applicable regulations.
• Escalate material compliance concerns to senior management as appropriate.
• Monitor ongoing competence requirements for relevant staff.
• Oversee the effectiveness of systems and controls designed to ensure regulatory compliance.
• Support the preparation of LOIM compliance reports for the Executive Committee and Board.
• Assist in data protection oversight and manage responses to Subject Access Requests.
• Develop and maintain compliance policies and procedures to prevent unethical or improper conduct.

YOUR PROFILE

• Degree-level education in a relevant field, with a preference for legal, compliance or finance.
• 5-10 years of proven experience in investment management, with a strong focus on portfolio management compliance.
• Demonstrated ability to work effectively with conduct staff and foster a culture of compliance.
• Exceptional responsiveness and the ability to manage multiple priorities efficiently.
• Self-sufficient, with a strong sense of initiative and a results-oriented mindset.
• Excellent written and verbal communication skills.
• Outstanding organizational skills and attention to detail.
• Ability to work effectively under tight deadlines.
• Thorough understanding of FCA Rulebooks, particularly COBS (Conduct of Business Sourcebook) and Money Laundering regulations and best practices.

Our Maison's DNA

Our Maison's DNA is defined by five core values: Excellence, Innovation, Respect, Integrity and One Team, united in serving our clients with unwavering dedication.

As a responsible and supportive employer, we promote a diverse and inclusive work environment for our employees and candidates. Diversity, Equity and Inclusion are woven into the fabric of our Maison's DNA, and we strive to ensure that our employees can fulfill both their personal and professional aspirations by encouraging internal mobility and upskilling programs. We firmly believe that building Diverse Teams contributes to our successes and to delivering on this, we actively embed Diversity, Equity and Inclusion in our business strategy.

It is an exciting time to join our Teams. All applications will be handled in the strictest confidence.