Compliance Officer - Asset Management

Compliance Officer - Financial Services

Real Estate Asset Manager

London based

4+ Years of experience

FCA Regulatory experience required

Our client is seeking a Compliance Officer to help build out and oversee compliance for the regulated investment advisory business, and play a critical role in their ambitious future plans. Suitable for someone with 4+ years of experience working in an FCA-regulated compliance role.

Responsibilities:

• The role is a generalist position with the opportunity to work on a broad scope of matters, ranging from Code of Ethics management, designing and carrying out testing and training, policy development, compiling regulatory filings, marketing material review, allocation and investment management oversight, and information security.
• The Compliance Officer will be responsible for the continued development, implementation, improvement, maintenance, and monitoring of compliance requirements internally
• Maintain a working knowledge of relevant compliance initiatives, rules, and regulations, and act as a resource when appropriate, in particular with respect to relevant regulatory developments

Application requirements:

• Bachelor’s degree, with a strong academic record from an accredited university
• 4+ years of relevant work experience in a compliance or regulatory role, with a strong preference for demonstrated experience in asset management
• Previous employment with a financial regulator or previous oversight of a compliance program within a substantial regulated investment adviser
• Excellent interpersonal skills, with an ability to interface with colleagues at all levels and in all departments
• Proven ability to handle stressful situations, a diverse and high-volume workload, and provide legal advice in a calm and professional manner
• Flexibility and strong analytic and problem-solving abilities

For more information about this position, please get in touch. Poppy.Taylor@ssq.com / 07534087340