Senior Compliance Officer

Lutine Bell; Greater London; Hybrid; GBP 80,000 - 95,000; Full time

Job summary

A leading company in the investment management sector is seeking a Senior Compliance Officer. The successful candidate will oversee compliance activities, provide regulatory guidance, and ensure adherence to financial regulations in a hybrid working environment. This role offers a competitive salary of up to £95,000 along with bonuses and additional benefits.

Qualifications

• At least 7 years relevant experience in the Investment Management industry or similar function.
• Solid appreciation of regulatory UK reporting requirements.

Responsibilities

• Conduct the Compliance Monitoring programme covering the Firm’s regulated business.
• Provide advice on asset management compliance matters and ensure accurate completion of regulatory returns.
• Support the Money Laundering Reporting Function, including training for employees.

Skills

Compliance Monitoring

Regulatory Reporting

Risk Management

Job description

Lutine Bell are currently supporting a Global Investment Manager looking to appoint a Senior Compliance Officer, reporting directly into the Head of Compliance.

Responsibilities:

• Conduct the Compliance Monitoring programme covering the Firm’s regulated business.
• Provide sound advice proactively on asset management compliance matters as prioritized by the CCO.
• Ensure the prompt and accurate completion of daily and ad-hoc regulatory returns and reports including, Major Shareholders, SSR and Takeover Panel.
• Oversight of Transaction Reporting controls
• Support the Money Laundering Reporting Function, including training for employees, appropriate provision of information to senior management, appropriate measures to ensure the effective control of risk within the firm’s day-to-day operations, including the new clients on-boarding and changes to the firm’s business profile.
• Escalate any material compliance/regulatory concerns or issues to the CCO as required.
• Assist the CCO in the delivery of timely and effective reports to the Committees & Board in respect of that oversight.
• Maintain the firms Compliance Policy & Procedures

Requirements:

• At least 7 years relevant experience in the Investment Management industry or similar function
• Solid appreciation of regulatory UK reporting requirements (i.e. Major Shareholding, SSR & Takeover Panel)
• Strong UK regulatory background on market abuse and trading activities

Location: London (hybrid working)

Salary: up to £95,000 (plus bonus & benefits)