Senior Compliance Officer (Investment Compliance) in London

The Value of Active Minds About Jupiter

Jupiter is one of the UK’s leading investment management companies with just over 500 employees and £73.7 billion worth of assets under management (as at 30th June 2026). Jupiter provides investment services to individual and institutional investors through mutual funds (UK unit trusts, Luxembourg SICAVs and Dublin OEICs), separately managed accounts and sub-advised funds. Jupiter has experienced a period of international growth with offices open in EMEA and APAC.

The majority of our employees are based in our London office located just minutes from Victoria station which provides stair-free access from both the Underground’s Victoria line and National Rail platforms, as well as limited road crossings to the Jupiter office. Our London office was designed to encourage employees to live active, healthy lives with floor-to-ceiling windows that allow for greater natural light and the benefit of a private balcony, table tennis room, cycle storage and on-site shower and locker facilities. The short distance to Green Park and St James' Park also provides employees with a natural space to relax during their lunch break and a healthy alternative to office-based meetings. We offer our UK employees a 3:2 hybrid working arrangement where Tuesdays, Thursdays and a third day of your choice are worked from the office. The other two days may be worked from home. This facilitates collaboration and allows employees to maximise productivity whilst maintaining a healthy work/life balance.

Background

The role is within the Investment Compliance team reporting to The Head of Investment Compliance. You will be joining a team of seven who are responsible for the provision of advice and oversight of the Investment Management Function. The team acts as part of the second line of defence for the business, ensuring that the Investment Management Function conducts their activities in accordance with Jupiter’s compliance framework and that Funds are managed as prescribed in their Prospectus or IMA documents and in adherence with the relevant Directives.

Key Responsibilities

• Provide day-to-day Investment Compliance advice and challenge to Investment Management, Trading and other relevant business areas across Jupiter’s regulated funds, segregated mandates and delegated investment arrangements.
• Interpret and advise on investment restrictions and regulatory requirements, including UCITS, NURS and AIFMD requirements, fund prospectus provisions, investment management agreements and other applicable investment guidelines.
• Assess the eligibility and permissibility of investments and investment strategies, including new or complex instruments, derivatives, collective investment schemes and corporate actions, providing clear and pragmatic advice to Investment Managers and other stakeholders.
• Undertake pre and post trade compliance oversight through BlackRock Aladdin, investigating alerts, providing advice on proposed transactions and ensuring potential or actual breaches are identified, escalated and resolved appropriately.
• Support the maintenance of effective investment restriction monitoring within Aladdin, including reviewing the appropriate monitoring approach for new or amended restrictions and working with Portfolio Guideline Analysts on coding, testing and implementation where required.
• Manage and oversee investment restriction breaches and exceptions, coordinating with Investment Managers, Investment Risk, Operations, Legal and other relevant stakeholders and maintaining appropriate records and governance through to closure.
• Act as a key point of contact for Depositaries and ManCos on investment compliance matters, including responding to monitoring queries, discussing potential breaches and providing supporting analysis and regulatory rationale where required.
• Provide Compliance input into fund accounting, NAV, valuation and operational matters where these have an investment regulatory or investor protection dimension, working closely with Fund Accounting, Product, Operations, Depositaries and other control functions.
• Support Jupiter’s market abuse framework, including surveillance and oversight, market soundings, restricted and stop-list arrangements, regulatory developments and the preparation of management information and governance reporting.
• Provide second-line oversight and challenge in relation to trading activities, including best execution, order allocation, trading controls, dealing practices and other conduct or regulatory matters affecting the Trading function.
• Identify, assess and advise on conflicts of interest arising from investment management activities, new products, related-party arrangements, internal delegations and other business developments, ensuring appropriate controls and governance are in place.
• Monitor relevant regulatory developments, interpret their impact on Jupiter’s investment activities and support the implementation of proportionate changes to policies, procedures, monitoring and controls.
• Lead or contribute to thematic and desk-based Compliance reviews of higher-risk Investment Management and Trading activities, including scoping, testing, stakeholder interviews, documenting findings and agreeing appropriate remedial actions.
• Provide Compliance advice and challenge in relation to new funds, mandates, product changes and other business initiatives, helping to identify investment regulatory requirements and control considerations at an early stage.
• Build effective working relationships across Investment Management, Trading, Investment Risk, Operations, Legal, Product and other control functions, providing constructive challenge while supporting commercially workable and regulatorily sound outcomes.
• Contribute to Compliance governance, management information and committee reporting, clearly communicating material investment compliance risks, trends, breaches, regulatory developments and areas requiring senior management attention.
• Support the wider Compliance function on investment-related matters and contribute to the continued development of Jupiter’s Investment Compliance framework, policies, procedures and control environment.

Desired Skills / Experience

• Strong experience within Asset Management Compliance, Investment Compliance, Investment Risk or a closely related control function.
• Strong knowledge of UCITS, NURS and AIFMD requirements relevant to portfolio management, including eligibility, diversification, concentration, borrowing and derivatives requirements.
• Good working knowledge of a broad range of asset classes and investment instruments, with the ability to assess regulatory and investment restriction implications.
• Experience interpreting fund prospectuses, investment management agreements, mandates and other investment restrictions, and translating requirements into practical advice for Investment Management teams.
• Experience providing regulatory and compliance advice to Investment Managers, Traders and other Front Office stakeholders, including the ability to apply regulatory requirements to complex or novel investment scenarios.
• Experience of pre- and post-trade investment compliance monitoring, including investigation and resolution of investment restriction alerts and breaches.
• An understanding of investment restriction coding and rule configuration, with the ability to review and challenge whether restrictions are appropriately captured within monitoring systems.
• Detailed coding expertise is advantageous but is not the primary focus of the role.
• Experience of working with BlackRock Aladdin.
• Experience of investment eligibility assessments, including consideration of new instruments, derivatives, collective investment schemes, structured products and corporate actions.
• Experience liaising with Depositaries, ManCos, Fund Accountants, Auditors and other external oversight providers on investment compliance or regulatory matters.
• Good understanding of market abuse regulation and investment management conduct risks, including market soundings, restricted lists, surveillance and associated governance arrangements.
• Knowledge of trading compliance and oversight, including best execution, order allocation and other relevant dealing controls.
• Experience identifying and assessing conflicts of interest arising from investment management activities, products, mandates, delegations or related-party arrangements.
• Experience interpreting regulatory developments and assessing their practical impact on investment management activities, policies, procedures and controls.
• Experience conducting or contributing to Compliance monitoring or thematic reviews, including scoping, testing, documenting findings and agreeing proportionate remedial actions.
• Experience with UK authorised funds, Irish funds and Luxembourg fund structures would be advantageous.
• Strong analytical and critical-thinking skills, with the ability to reach well-reasoned conclusions where regulatory requirements or investment scenarios are complex or judgement-based.
• Excellent written and verbal communication skills, with the ability to explain complex regulatory matters clearly and pragmatically to both technical and non-technical audiences.
• Strong stakeholder management skills, with the confidence to challenge, influence and advise Fund Managers, Traders and senior management constructively.
• Able to balance regulatory requirements and risk considerations with an understanding of the commercial and operational environment in which an investment management business operates.
• Highly organised, proactive and able to manage multiple priorities and deadlines while maintaining a high level of accuracy and attention to detail.
• Collaborative and self-sufficient, with the ability to work effectively both independently and as part of a wider Compliance and Risk function.
• Professional qualification such as IMC, CFA or an appropriate Compliance qualification is desirable.

Additional Role Details

This role is subject to the Conduct Rules set by the FCA.

Don’t meet every requirement? At Jupiter we are dedicated to building a diverse and inclusive workplace, so if you are interested in this role, but don’t think your experience aligns perfectly with every listed requirement in the job description, we would encourage you to apply. You may be the right person for this role.