Investment Compliance officer

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I have an exciting opportunity for an experienced Funds Compliance Officer at a fast-growing investment/asset management company currently they have an AUM of around 50 billion pounds. They have a mix of funds including AIFMD funds. This would be a generalist compliance role and will be instrumental in advising the business in day-to-day activities as well as long-term strategic vision. This role would report directly to the GC and is part of a small compliance team.

They are an ambitious company that is expecting to grow significantly over the next 12/18 months. The role is based in London (the city) and they are looking for someone who is a team player, proactive, and has experience of working with and advising the business on compliance/regulatory matters.

Responsibilities

1. Compliance Monitoring Programme: Devise, undertake, and report on the compliance testing programme.
2. Compliance Manual and Policies: Maintain the Compliance Manual and compliance-related policies.
3. Regulatory Risk Management: Manage regulatory risks effectively.
4. Compliance and Regulatory Reporting: Ensure timely and accurate reporting.
5. Regulatory Developments: Capture any changes in the regulatory environment relevant to the firm. Act as the internal subject matter expert and operational first point of contact for any larger regulatory projects.
6. Anti-Money Laundering (AML) and Financial Crime: Take operational responsibility for the maintenance and delivery of AML and financial crime regime.
7. Market Abuse: Ensure compliance with market abuse regulations.
8. Training and Advice: Provide training and advice on compliance matters.
9. Marketing: Review and sign off all external communication documentation and financial promotions to ensure they are fair, clear, and not misleading.
10. Product Launch: Be involved in product launch projects to ensure all regulatory requirements are taken into consideration regarding the launch of new funds, and that all regulatory documentation is sent to the FCA within the required time limits.
11. Assist the Chief Legal & Compliance Officer and Senior Investment Compliance Officer.

Required Experience and Knowledge

1. Ideally CISI Diploma in Investment Compliance or equivalent (or working towards), with demonstrable compliance skills and regulatory knowledge.
2. Detailed, working knowledge of relevant regulatory requirements, in particular subject expertise on the following regulations: AIFMD, MiFID II, SMCR, and obligations set out in the FCA Handbook as they apply to the firm.
3. A proactive, self-motivated team player who can work independently with minimal supervision, manage a high personal workload with multiple deadlines, and continually strive for improvements in quality, efficiency, and presentation.
4. At least 5 years financial sector work experience, preferably with exposure to oversight within an FCA regulated entity.
5. Knowledge of a variety of asset classes, including more illiquid types such as infrastructure and real estate.
6. Knowledge of the major types of derivatives and their use.
7. Knowledge of different fund structures, including hedge funds.

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