Senior Compliance Officer – Asset Management & Coding

Compliance Professionals; England; On-site; GBP 90,000 - 110,000; Full time

Job summary

Compliance Professionals is seeking a Senior Compliance Officer for a leading UK investment management firm. The role focuses on asset management, guideline monitoring, and coding, with close collaboration across Front Office and Risk & Compliance teams.

The candidate will lead on onboarding restrictions, coding guidelines in Aladdin, and daily pre/post trade monitoring while ensuring regulatory adherence and effective risk controls.

Qualifications

• Strong experience in Asset Management.
• Experience with guideline monitoring and coding.
• In-depth knowledge of UCITS/NURS AIFMD Regulations applicable to Investment Management activities.
• Experience with UK Authorised Funds, Irish ICVCs and Luxembourg SICAVs.
• Measurable attention to detail and strong communication skills.

Responsibilities

• Key stakeholder in client onboarding investment restrictions and amendment processes; review IMA documentation to identify codable guidelines.
• Code, assign, test and approve guidelines in the monitoring system (Aladdin) with accuracy.
• Daily pre and post trade compliance monitoring across regulated and segregated portfolios.
• Manage compliance breaches to closure with accurate records for submissions and queries from Clients, Depositories and Auditors.
• Consult with front office on investment compliance and operational considerations affecting asset allocation, concentration and risk management.
• Oversee adherence to application regulations including UCITS and NURS requirements.
• Collaborate with Fund Managers, Dealers, Legal Team and wider Risk and Compliance to manage risks and enhance controls.
• Stay updated on regulatory developments and assess impact on Investment Management activities.

Skills

Asset management

Guideline monitoring

Coding guidelines

Attention to detail

Communication skills

Tools

Aladdin

Job description

Compliance Professionals is seeking a Senior Compliance Officer for a leading UK investment management firm. The role focuses on asset management, guideline monitoring, and coding, with close collaboration across Front Office and Risk & Compliance teams.

The candidate will lead on onboarding restrictions, coding guidelines in Aladdin, and daily pre/post trade monitoring while ensuring regulatory adherence and effective risk controls.