Senior Compliance Officer

Lutine Bell; London; On-site; GBP 60,000 - 90,000; Full time

Job summary

A leading investment firm is seeking a Compliance Manager to oversee and manage their compliance responsibilities. This pivotal role requires significant experience in regulatory environments, particularly within investment management, ensuring strict adherence to regulatory standards while providing proactive compliance support across operations.

Qualifications

• Minimum 7 years' compliance experience within the investment management sector.
• In-depth knowledge of UK regulatory frameworks.
• Experience in regulatory reporting.

Responsibilities

• Execute and manage the Compliance Monitoring Programme.
• Monitor regulatory developments and compliance controls.
• Manage and submit timely regulatory filings.

Skills

Analytical skills

Decision-making skills

Communication skills

Organizational skills

Tools

Bloomberg AIM

Job description

Direct message the job poster from Lutine Bell

Researcher, Compliance & Financial Crime

About the Role:

Our client is seeking an experienced Compliance Manager to support their global compliance function. Reporting to the Chief Compliance Officer based in London, you will play a key role in ensuring the firm remains fully compliant with all relevant regulations (excluding financial regulations).

This is a high-impact role offering broad exposure across portfolio management, trading, marketing, onboarding, and regulatory reporting.

Key Responsibilities:

• Execute and manage the Compliance Monitoring Programme across all regulated business activities, including:
• Monitoring regulatory developments
• Oversight of portfolio management and trading practices
• Reviewing market abuse controls and maintaining restricted lists
• Communications surveillance and best execution reviews
• SM&CR framework oversight
• KYC/AML onboarding and periodic reviews
• Marketing and distributor compliance checks
• Conflict of interest and investment research monitoring
• Training assignment and compliance certifications
• Approval of personal account dealing, gifts & entertainment, and external interests
• Provide proactive compliance advisory support across asset management operations
• Manage and submit timely regulatory filings (e.g., Major Shareholdings, SSR, Takeover Panel)
• Maintain oversight of transaction reporting and surveillance controls
• Support the MLRO function, including AML training and operational risk control
• Escalate material compliance issues to the CCO as appropriate
• Assist in the preparation of reports to governance committees and the Board
• Maintain and update the firm’s compliance policies and procedures

Key Requirements:

• Minimum 7 years' compliance experience within the investment management sector
• In-depth knowledge of UK regulatory frameworks, especially FCA SYSC and COBS
• Experience in regulatory reporting (e.g., Major Shareholding, SSR, Takeover Panel)
• Strong knowledge of market abuse regulations and trading oversight
• Understanding of UCITS and offshore fund regulatory environments
• Familiarity with European regulations such as MiFID II and MAR
• Comfortable working with Bloomberg AIM
• Strong analytical, problem-solving, and decision-making skills
• Excellent communication skills – written and verbal
• Highly organised, proactive, and able to work under pressure

This is a fantastic opportunity to be part of a respected and globally active investment firm, where your expertise will contribute directly to the ongoing success and integrity of the business.

If this opportunity interests you, please apply via LinkedIn, or email me your CV over to: [e-mail]

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Strategy/Planning and Legal

• Industries

  Investment Banking

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