Compliance officer

    • Job reference: MPamCOM677
    • Type: Permanent
    • Location: London
    • Country: England
    • Industry: AVP Compliance
    • Salary: £50,000 - £58,000 per annum
    • Start: ASAP


This major asset management firm is looking for someone to join their business as part of their client services business that provides middle and back office services to a large number of asset management and hedge fund clients. This role will provide investment compliance monitoring and advise to those clients. This is an excellent opportunity to gain exposure to a wide array of asset managers and hedge funds.

The key responsibilities of the role include:

The role is to support the production of the regular timetabled compliance reporting outputs and to support the Compliance needs of the clients.

This position is responsible for working with the Compliance Analyst system and to help clients monitor their investment manager’s investment guidelines. Day-to-day responsibilities for the Compliance Analyst system component include reviewing client investment guidelines, setting up the guidelines on the Compliance Analyst system, testing to ensure desired output, ongoing client servicing and attend meetings as required by clients or internal partners. Day-to-day responsibilities also include reviewing all triggered messages, investigating the output and notifying the client of any true violations.

The incumbent of the role will expected to have a sufficient knowledge base to act as Subject Matter Expert and be comfortable at engaging in conversations with clients, investment managers and the firms’ product team to articulate requirements pertinent to firm’s ability to provide compliance services.

The successful candidate will benefit from having:

  • Act as subject matter expert for Firms Compliance Product offering

  • Investigate daily breach monitoring

  • Answer client queries

  • Create guideline reviews

  • Attend client meetings

  • Ensure rule set-up in system for new mandate implementations

  • Produce monthly reports

  • Data inputs into Compliance system to enable monitoring where required

  • Provide custom client solution support

  • Engage new client implementations

  • Provide oversight of off shore team, as well as mentoring and supporting their development to help assist London Client Service team

  • Work and support new system implementation initiative as and when required

  • Provide new business/sales process support

Skills / Experience

  • Excellent verbal and written communication skills.

  • Extremely detail oriented with strong planning and organizational skills.

  • Familiarity with investment manager guidelines and language used in investment manager agreements.

  • Knowledge of financial markets, investment instruments and portfolio management strategies.

  • Knowledge of fixed income and derivatives asset classes would be advantageous.

  • Familiarity with various investment styles, asset classes, strategies for achieving performance goals, benchmarks, and investment related terminology.

  • Interest in researching topics, such as substantial shareholder limits and other topics related to our clients’ investment requirements for their global investments.

  • Experience with industry vended compliance monitoring systems such as Charles River, Bloomberg POMS, RCB Dexia, etc. and/or Mutual Fund Compliance and Risk Monitoring experience is a plus.

  • Solid working knowledge of Excel

  • Experience with Bloomberg, Moody’s, S&P, and Fitch a plus.

  • Knowledge of and interest in writing Excel macros and creating custom reports using VBA, and/or Business Objects, is a plus.