Compliance Officer, Investment Boutique

Overview

You join a global emerging markets investment boutique as a mid-level Compliance Officer to oversee UK and US activities. You will provide proactive regulatory guidance and partner with the CIO to support the business. You’ll stay abreast of evolving rules and advise on portfolio management, policies, and due diligence. The role spans policy, investment guidelines, due diligence, and AML to ensure compliant, well-controlled operations. A clear path exists toward a global role.

Pay / Benefits

• bonus scheme
• benefits package

Responsibilities

• Oversee activities across the UK and US
• Provide regulatory guidance to the business
• Respond to regulatory queries
• Keep abreast of developing regulations and advise portfolio management
• Develop and maintain compliance policies and procedures
• Manage investment guidelines and third-party due diligence
• Oversee AML controls

Key requirements

• Minimum six years buyside compliance experience
• Working knowledge of SEC rules and filings
• FCA knowledge/experience
• Regulatory advisory capability
• Stakeholder collaboration with CIO and portfolio managers

• Proactive communication
• Collaborative partner to business
• Strong analytical thinking
• SEC rules and filings
• FCA regulations
• AML controls

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