Compliance Officer


GBP50000 - 60000 / annum



Date posted:

July 9, 2018

Employment type:


Job reference:


Staffing area:

Financial Services



KEY RESPONSIBILITIES, including but not limited to

  • Develop and maintain a detailed knowledge of the FCA and other regulatory requirements
  • Be aware of industry developments / initiatives in the area of regulation and keep abreast of market practice / reaction
  • Deputise for the Compliance Officer as required and be able to report to Management Committee on compliance issues.
  • Review AML verification/on-going due diligence in a timely, risk rated manner. Excellent level of knowledge of JMLSG and other relevant AML legislation and guidance
  • Assist the Head of UK Compliance in assessing the impact in changes to domestic and international regulation and legislation
  • Maintain relevant Compliance registers ( gifts, PA dealing, conflicts, complaints)
  • Review, and assist in completing and approving all Financial Promotions and marketing material
  • Assist the Head of UK Compliance in completing the annual compliance monitoring programme
  • Assist the Head of UK Compliance in keeping all internal Compliance documentation (such as application forms, terms of business, policies, procedures, controls and manuals) up to date and compliant
  • Assist the Head of UK Compliance in completing all necessary T&C reviews and providing ad-hoc training where appropriate.
  • Trade monitoring under the Market Abuse Regulation (MAR)
  • Best execution monitoring
  • Undertake transaction monitoring
  • Best execution, MIFID II and market abuse monitoring
  • Ad-hoc projects as necessary from time to time
  • Attend relevant regulatory conferences and seminars as necessary
  • Implementing and monitoring on-line Compliance training is completed on time
  • Responsible for quarterly compliance sign-offs from all staff
  • Providing compliance advice to the business on a broad range of issues
  • Familiar with SMCR and GDPR requirements
  • Anticipate issues, provide solutions and use independent judgement
  • Up to date on EMIR, UCITS and AIFMD reporting requirements
  • Maintaining new joiners/leavers files and Training & Competence files. Preparation of approved persons forms and update of approved persons records accordingly
  • Attend Irish and Cayman Board meetings to report on Compliance matters and address any action points from Directors
  • Keeping Compliance Manual Policies and procedures up to date.
  • FATCA and CRS
  • Annual training and Competence reviews. On-boarding and training new staff.
  • Renewal of LEI numbers for MIFID II compliance.
  • Dealing with Wall Crossings (Chinese walls and firm-wide restrictions).
  • Leading the internal audit function (automated outsourced supplier).
  • UCITS Eligibility check for investments.
  • Registering and de-registering staff on FCA connect system.
  • Review, draft and execute a wide range of legal agreements.
  • Representing the Compliance Department at due diligence meetings with prospective and existing investors.
  • Managing potential compliance breaches through to resolution using own initiative.


  • Relevant Legal or Compliance Qualification (such as the International Compliance Association Diploma in Compliance or CISI Reg and Compliance Diploma).
  • Ideally 5 - years' experience in investment business compliance .Previous Compliance experience essential in the asset management/alternatives industry.
  • Ability to work within a team as well as independently.
  • Excellent communication skills (both verbal and written).
  • Ability to raise and communicate complex issues accurately and succinctly to personnel at all levels.
  • Educated to degree level or equivalent .
  • Excellent level of knowledge of both FCA and EU regulatory legislation (specifically changes related to MIFID II where possible).
  • Excellent organisational skills.
  • Ability to communicate and deal effectively with clients, suppliers and colleagues at all levels.
  • Able to work in a busy but friendly team to tight deadlines in a high pressure environment.
  • Willingness to go the extra mile.


My Client is an international asset manager which seeks continuous and sustainable growth for its investors. Its fund managers use both quantitative and discretionary absolute and total return strategies to achieve this goal.

The multi-strategy asset management firm manages both UCITS and alternative investment funds, and offers private wealth management solutions. Since launch, it has expanded its investment offering from credit and convertibles to also include multi-strategy and equity strategies and bespoke solutions. They have always placed fundamental analysis at the heart of its investment process and has sought to hire experienced and talented staff from diverse backgrounds. The Firm's robust compliance, operations and risk management platform provides risk monitoring and liquidity management which allows its investment professionals to perform in all market environments.

Salary & Benefits

£60,000 + Bonus + Benefits

Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. By applying to this position, you acknowledge that you have read and accept the following terms:


10th Floor, The Shard 32 London Bridge Street London, SE1 9SG 0207 389 6900
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