Senior Compliance Officer – Investment Compliance

Compliance Professionals; Greater London; On-site; GBP 65,000 - 90,000; Full time

Job summary

Compliance Professionals in London is seeking a Senior Compliance Officer with strong asset management experience to lead guideline monitoring and coding within Aladdin. The role requires managing pre/post trade checks, regulatory adherence (UCITS/NURS/AIFMD) and liaison with Front Office and Risk & Compliance teams.

The successful candidate will demonstrate attention to detail, clear written and verbal communication, and the ability to translate complex rules into actionable controls for

Qualifications

• Asset management experience.
• Experience with guideline monitoring and coding.
• Knowledge of UCITS, NURS and AIFMD regulations.
• Experience with UK Authorised Funds, Irish ICVCs and Luxembourg SICAVs.
• Aladdin experience is essential.
• Strong attention to detail and accuracy.
• Strong verbal and written communication skills.
• Ability to simplify complex matters for a wide audience.

Responsibilities

• Onboard clients and review investment restrictions for coding in the monitoring system.
• Code, test and approve investment guidelines in Aladdin with accuracy.
• Daily pre- and post-trade compliance monitoring across portfolios.
• Manage breaches with proper records and stakeholder communication.
• Advise front office on investment compliance and risk considerations.
• Ensure adherence to UCITS/NURS and other regulatory requirements.
• Collaborate with Fund Managers, Legal, Compliance and Risk teams to mitigate risks.
• Keep abreast of regulatory developments and assess impact on activities.
• Support broader Compliance team as needed.

Skills

Asset management

Guideline monitoring

Coding

UCITS/NURS/AIFMD

Aladdin

Attention to detail

Verbal and written communication

articulating complex matters

Job description

THE COMPANY:

Our client is one of the UK’s leading investment management companies, seeking a Senior Compliance Officer. The ideal candidate will have strong asset management experience, specifically within guideline monitoring and coding.

THE RESPONSIBILITIES:

• Key stakeholder in client onboarding investment restrictions and investment restriction amendment processes. Reviewing draft IMA documentation to identify guidelines that require coding; equally identifying those that cannot be coded for discussion with relevant business areas.
• Code, assign, test and approve guidelines in the monitoring system (BlackRock’s Aladdin) with accuracy.
• Daily pre and post trade compliance monitoring across regulated and segregated portfolios.
• Managing compliance breaches efficiently to closure, ensuring accurate maintenance of records to support submissions and queries raised by internal and external stakeholders (Clients, Depositories, Auditors). Maintaining a good relationship with Front Office and the wider business.
• Consulting with front office on appropriate investment compliance and operational considerations impacting asset allocation, concentration and risk management.
• Overseeing and advising on adherence to application regulations including UCITS and NURS requirements.
• Collaborating with Fund Managers, Dealers, Legal Team, Client RMs and the wider Risk and Compliance function to successfully manage identified risks, breaches and enhance mitigating controls.
• Keeping abreast of regulatory developments and assessing any impact on Investment Management activities.
• Assisting the wider Compliance team where appropriate.

EXPERIENCE REQUIRED:

• Strong experience in Asset Management.
• Working knowledge of all asset classes.
• Experience within guideline monitoring and coding.
• In-depth knowledge of UCITS/NURS AIFMD Regulations applicable to Investment Management activities (i.e. diversification and spread rules).
• Experience in UK Authorised Funds, Irish ICVCs and Luxembourg SICAVs.
• Aladdin experience essential.
• Measurable attention to detail/accuracy.
• Solid verbal and written communication skills.
• Ability to articulate complex matters into simple terms.

For further information please contact Spencer Evans