Compliance Officer/Manager | London | Investment Management
The Opportunity
If you already have solid UK asset management Compliance experience but want broader exposure than your current role gives you, this opportunity is definitely worth exploring!
We are recruiting a Compliance Manager for a global investment management business in Central London.
This is a broad role covering compliance advisory, regulatory change, governance, controls and the ongoing development of the UK compliance framework. This is NOT A MONITORING POSITION
What makes the opportunity particularly interesting is the level of exposure across the wider business. You will work with senior management as well as colleagues across Risk, Legal, Internal Audit, Product, Sales and Fund Accounting.
There is also an international dimension to the position. You will monitor regulatory developments across EMEA and contribute to wider Compliance initiatives beyond the UK.
It should suit someone who enjoys being close to the business and wants a role that offers more breadth than a narrow Compliance specialism.
What Makes the Role Different?
- A broad Compliance remit rather than a single specialist focus
- Regular interaction with senior stakeholders and governance forums
- Exposure across Product, Sales, Risk, Legal, Audit and Fund Accounting
- UK responsibility alongside wider EMEA and international exposure
- Involvement in regulatory change from initial assessment through to implementation
- The opportunity to help shape practical Compliance guidance for the business
Key Responsibilities
You will:
- Provide practical Compliance advice to business teams and senior management
- Support the ongoing maintenance and development of the UK Compliance framework
- Monitor regulatory developments across the UK and wider EMEA region
- Assess the impact of regulatory change and translate requirements into clear business guidance
- Prepare management information for Boards and governance committees
- Support regulatory implementation and change projects
- Work closely with Legal and Internal Audit on control related matters
- Build effective relationships across Risk Management, Fund Accounting, Sales and Product
- Contribute to wider international Compliance projects and initiatives
About You
You are likely to have developed your Compliance experience within an asset management or investment management environment.
You should have a strong understanding of the UK regulatory landscape and be comfortable interpreting regulatory requirements before explaining their practical impact to the business.
Experience across areas such as the following will be particularly relevant:
- UK investment management regulation
- UCITS
- AIFMD
- MiFID
- Operational resilience
- Outsourcing requirements
- Regulatory reporting
You do not need to be the technical expert in every area. What matters is that you can understand regulatory requirements, apply sound judgement and give clear practical advice.
Experience or knowledge of transaction reporting would be advantageous but is considered a nice to have rather than an essential requirement.
What You Will Bring
Alongside your technical Compliance experience, you should be someone who can build credibility across different parts of the organisation.
You will be comfortable working independently while also collaborating with colleagues across multiple functions and jurisdictions.
Strong analytical skills will be important as will the ability to prioritise competing requirements and communicate complex regulatory issues clearly.
Why Consider It?
For someone already working within asset management Compliance, the attraction is the breadth.
You will have the opportunity to move beyond a narrow specialism and gain exposure across advisory work, regulatory development, governance, controls and regulatory implementation.
You will also work within an established global Compliance function of more than 100 professionals while remaining close to the UK business and its senior stakeholders.
If you are looking for a broader Compliance Manager role with strong business exposure and an international dimension, this is worth a conversation.
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