Senior Compliance Officer

Jupiter Asset Mgmt; London; Hybrid; GBP 50,000 - 90,000; Full time

Job summary

An established industry player in investment management seeks a Senior Compliance Officer to ensure marketing and distribution activities meet regulatory standards. This key role involves reviewing marketing materials, maintaining compliance guidelines, and providing support to the Client Group. The firm champions a hybrid working model, allowing for a balance between collaboration and productivity. Join a dynamic team where your expertise will help navigate regulatory landscapes and support the growth of the business. If you have a passion for compliance and a solutions-oriented mindset, this opportunity is perfect for you.

Qualifications

• 5+ years' experience in a compliance role within asset management.
• Strong knowledge of UK and European regulatory frameworks.

Responsibilities

• Review marketing communications for compliance with regulations.
• Maintain knowledge of regulatory changes impacting marketing activities.
• Provide mentoring and support to Compliance team members.

Skills

Asset Management Experience

Knowledge of UK Fund Structures

Knowledge of European Regulatory Framework

FCA Handbook Understanding

Communication Skills

Attention to Detail

Self-Motivated

Time Management Skills

Job description

Senior Compliance Officer page is loaded

Senior Compliance Officer

Apply locations London time type Full time posted on Posted 18 Days Ago job requisition id JR369

About Jupiter

Jupiter is one of the UK’s leading investment management companies with over 500 employees and £51.3 billion worth of assets under management (as at 30th June 2024).

Jupiter provides investment services to individual and institutional investors through mutual funds (UK unit trusts, Luxembourg SICAVs and Dublin OEICs), separately managed accounts and sub-advised funds. Jupiter has experienced a period of international growth with offices open in EMEA and APAC.

The majority of our employees are based in our London office located just minutes from Victoria station which provides stair-free access from both the Underground’s Victoria line and National Rail platforms, as well as limited road crossings to the Jupiter office.

We offer our UK employees a 3:2 hybrid working arrangement where Tuesdays, Thursdays and a third day of your choice are worked from the office. The other two days may be worked from home. This facilitates collaboration and allows employees to maximise productivity whilst maintaining a healthy work/life balance.

Background

This is a key role within Compliance, providing support and advice to the Client Group to ensure that all marketing and distribution activities meet regulatory standards. The role will also involve providing compliance approval for marketing materials and supporting regulatory change that impacts distribution and marketing activities.

Key Responsibilities

1. Review advertising and marketing communications for Jupiter’s range of funds ensuring compliance with local regulatory requirements and general Consumer Duty principles. Documentation includes:
1. Marketing and advertising literature targeting both retail and institutional audiences in the UK and multiple overseas jurisdictions.
2. Fund documentation, including prospectuses and Report & Accounts.
3. Social Media Posts
4. Group websites
5. Press releases
2. Provide constructive and accurate feedback following review of documentation ensuring that required amendments are made.
3. Maintain an up-to-date knowledge of relevant regulatory changes and the impact on promotional activity and materials.
4. Maintain and update Compliance-owned guidance and training materials.
5. Provide assistance and mentoring to other members of the Compliance team.
6. Maintain close working relationships with the Client Group and other stakeholders, offering pro-active, accurate and timely advice and support.
7. Investigating acceptable sales and marketing practices in new jurisdictions.

Desired Skills / Experience

1. 5 + years' experience from a similar role in asset management.
2. Knowledge of European and UK fund structures.
3. Knowledge of the UK and European regulatory framework.
4. Understanding of the FCA Handbook and related requirements.
5. Experience of developing constructive relationships.
6. Attention to detail with compliance knowledge.
7. Ability to act diplomatically and use initiative.
8. Solutions-oriented approach to work.
9. Good communication skills.
10. Ability to manage expectations.
11. Self-motivated and able to work without close supervision.
12. Effective time management skills.

Additional Role Details

1. This role is subject to the Conduct Rules set by the FCA.

Don’t meet every requirement? At Jupiter we are dedicated to building a diverse and inclusive workplace, so if you are interested in this role, but don’t think your experience aligns perfectly with every listed requirement, we would encourage you to apply.

About Us

Our high-conviction investment approach is fundamental to the way we think, and the way we work. We respect and celebrate different perspectives and experiences. We are agile, brave, and work fast. We take accountability and always look for ways to drive greater value for our clients. At Jupiter, we unlock your potential so our clients can achieve theirs.