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Compliance Officer | London, UK | Hybrid

Compliance Officer | London, UK | Hybrid

Maldon PartnersLondon, England, United Kingdom
22 days ago
Job type
  • Full-time
Job description

A rare opportunity has arisen for an experienced buy-side compliance officer to join an award-winning asset management firm based in the City of London.

Maldon Partners are recruiting a Compliance Officer for an award-winning asset management firm located in the City of London.

The firm has an AUM of approximately £22BN and 80 employees in its London offices. It has a global footprint and a great family-like culture.

The role requires an experienced buy-side compliance officer who is approachable and experienced in dealing with the front office.

Hybrid working : 3 days in the office.

The Role :

Reporting directly to the CCO and working alongside two compliance analysts, the role holder will be responsible for day-to-day compliance monitoring activities.

Responsibilities will include but are not limited to :

  • Monthly compliance monitoring (best execution and allocation)
  • Review of financial promotions and cross-border distribution material (marketing material)
  • Regulatory reporting to FCA and SEC
  • Review and update compliance manual, policies, and procedures
  • Development and distribution of training programmes

Experience Required :

  • A minimum of 3 years' compliance experience in an investment or asset management firm
  • Good knowledge of UK and international marketing regulations
  • Previous compliance monitoring experience (NOT AML / KYC)
  • Core compliance experience (monitoring, policies and procedures, preparing MI and regulatory reporting)
  • Proficiency in Excel and PowerPoint
  • Excellent verbal and written communication skills

    • The Compliance Officer role has a base salary of £65,000 - £75,000 depending on experience, plus hybrid working.

  • Please note only candidates who meet the above criteria will be contacted.

    • Maldon Partners is a headhunting firm focused on clients within the financial services space. We have dedicated teams focused on finance, regulatory, and related areas.

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    Compliance London Uk • London, England, United Kingdom