THE COMPANY:
Our client is a multi-strategy investment management business in Central London. They are seeking a Part-Time Compliance Officer, this is a broad, hands‑on role within a collaborative and fast‑moving environment
THE RESPONSIBILITIES:
- Supporting the ongoing monitoring and enhancement of the firm’s compliance framework, policies, and procedures.
- Assisting with the delivery of the Compliance Monitoring Programme and thematic reviews.
- Monitoring trading activity and investment processes against regulatory requirements, fund restrictions, and internal controls.
- Conducting surveillance across areas including market abuse, personal account dealing, communications monitoring, and conflicts of interest.
- Supporting regulatory filings and reporting obligations, including FCA, NFA, and SEC submissions.
- Providing practical compliance guidance to investment professionals and wider business teams.
- Supporting onboarding and due diligence processes for counterparties, brokers, vendors, and service providers.
- Maintaining and reviewing compliance registers, including gifts and entertainment, conflicts, and insider lists.
- Reviewing marketing materials and financial promotions.
- Assisting with the preparation and delivery of compliance training.
- Supporting regulatory examinations, audits, and investor due diligence requests.
- Contributing to regulatory change projects, process improvements, and wider compliance initiatives.
- Keeping up to date with relevant regulatory developments.
EXPERIENCE REQUIRED:
- Compliance experience within an investment management firm, hedge fund, or asset manager.
- Strong understanding of the UK regulatory environment, including FCA rules and market abuse regulations.
- Familiarity with NFA and SEC requirements.
- Experience supporting front-office investment activity and trade surveillance processes.
- Excellent attention to detail and the ability to manage multiple priorities in a fast‑paced environment.
For further information please contact Spencer Evans
#J-18808-Ljbffr
Compliance Officer (Part Time) SMF16/17 employer: Compliance Professionals
As a leading private bank in the UK, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee development and well-being. Our commitment to compliance excellence not only ensures a rewarding career path for our Financial Crime Compliance Lead but also offers unique opportunities for professional growth through continuous training and mentorship. Join us to be part of a prestigious institution where your expertise in wealth management will be valued and your contributions will make a meaningful impact.
