Senior Central Compliance Officer

The Value of Active Minds

About Jupiter

Jupiter is one of the UK’s leading investment management companies with over 500 employees and £44.3 billion worth of assets under management (as at 31st March 2025).

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 across 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

As a member of the Compliance team, the Senior Central Compliance Officer role is focused on all central compliance related activities and works closely with all members of the compliance department, as well as entailing a large amount of collaboration across the business.

Key Responsibilities

• Support the Head of Central Compliance through the provision of a robust and fit for purpose central compliance framework, including but not limited to personal account dealing, inducements, conflicts of interest and training.
• Monitor adherence to the central compliance framework across Jupiter and assist in the delivery of management information to the Head of Compliance, other senior/line managers in respect to conduct related issues.
• Contribute to the delivery of a pro-active regulatory change, through researching and acting as subject matter expert on specific items of regulatory change as allocated through the horizon scanning framework. Provide responses/lobby on emerging regulatory change through consultation responses on behalf of Jupiter or through industry trade bodies such as IA, EFAMA and TISA and on behalf of Jupiter as a standalone responder.
• Regular review of processes to ensure alignment to peers. Continuous review and assessment of processes, recommending implementation of efficiencies, adopting and maintaining automation.
• Providing second line oversight and challenge in respect to CASS arrangements, overseeing CASS resolution packs, signing off client money accounts and reviewing CASS breaches for materiality, making regulatory notifications as required.
• Oversight and challenge on EMIR and MIFIR reporting arrangements. Perform regular reviews of processes and provide SME advice on regulatory requirements and any changes to the regulation both in the UK and Europe. Reviewing MIFIR and EMIR breaches, agreeing enhancements to controls to prevent future errors and filing/coordinating required notifications to home state regulators
• Providing compliance support in respect to the Data Protection framework, assisting with DSARs and assessing potential reportable events. Acting as a member of the Data Protection Forum.
• Providing technical advice and challenge to first line conflicts identification and control assessments, undertaking assurance testing as needed.
• Pro-actively raise awareness about compliance policies and procedures through day-to-day business engagement, attendance at business departmental meetings, firm-wide publications, and presentations.
• Contribute to regulatory reporting processes, including but not limited to DTR, Companies Act, POTAM, SSR and all other necessary trade related regulatory reporting (with the exclusion of EMIR and MIFIR reporting). Assist in any necessary AIFM reporting.
• Support the broader compliance team to ensure continuity of compliance related activities as and when required.

Desired Skills / Experience

• Strong interpersonal skills and able to build strong relationships across the compliance team and broader business.
• A commercial mindset, proactive nature and pragmatic work ethic.
• Ability to work to strict deadlines and work under pressure.
• Ability to investigate issues and proactively problem solve.
• Demonstrable experience of process reviews and enhancements including ability to utilise low-code and no-code solutions including Microsoft Power Platform.
• Ability to work in a generalist capacity across monitoring and advice and consider regulatory risks on a holistic basis. Ability to think about down-steam process implications of decisions made and challenge the status quo.
• Data literate with strong analytical skills.
• Deep understanding of MIFID requirements and how these apply to asset management.
• Strong experience in CASS.
• Experience in EMIR and MIFIR regulation.
• Prior experience of GDPR.
• Pro-active, commercially minded and solutions led.
• Able to independently make risk-based decisions in line with Jupiter’s risk appetite.
• A clear communicator with strong presentation skills, comfortable with working with all levels of seniority with both internal and external stakeholders.
• Experience in regulatory change implementation.
• Deep understanding of asset management, UCITS regulation, wholesale distribution channels, markets and instruments to allow for effective regulatory change interpretation in the lens of Jupiter’s business activities.
• Proven experience in navigating and interpreting global regulator rule books consistent with Jupiter’s global regulatory footprint.

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.

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