Compliance Officer

We are exclusively recruiting for a growing asset management firm looking to hire a Compliance Officer for a newly created role as the business continues to expand. This role will suit someone with a proactive & dynamic working approach, comfortable working within a fast paced work environment. The ideal candidate will have previous experience working with both retail & institutional clients.

Main Responsibilities:

• Support the compliance team with current monitoring processes, including but not limited to, best execution, market abuse & investment restrictions monitoring.
• Develop and maintain monitoring process for model portfolio services.
• Develop and maintain ESG monitoring process for sustainable funds and portfolios.
• Assist the compliance team in following up on all issues raised as part of compliance monitoring work and to ensure related policies and procedural changes are implemented.
• Assist with drafting and reviewing changes to compliance policies and procedures as appropriate.
• Maintain risk registers and assist with ICARA preparation.
• Undertake annual SEC review process.
• Ad-hoc duties delegated by the Head of Compliance.

Job Requirements:

• Minimum of 5 years Compliance experience working for a similar Asset Management firm.
• Previous experience of both retail & institutional clients.
• Strong funds knowledge, including UCITS & AIF’s
• Ability to work autonomously, must be naturally proactive and comfortable working within a dynamic, fast paced working environment.
• Excellent communication skills, both written and oral, comfortable working in a small team.

Unless otherwise stated, candidates must have the right to work in the UK.

The CLARC Guarantee – we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.