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Assistant Compliance Officer

Full Time
Greater London
05-04-2022 11:18 AM

Assistant Compliance Officer - Institutional Asset Manager

You will be responsible for supporting the Compliance team to ensure that the Group and in particular the UK regulated entities comply with applicable statutory and regulatory requirements.

Reporting directly to the highly experienced Head of Compliance


  • Assisting with the maintenance of the system: providing approvals, carrying out administrative tasks and providing support to employees and guidance to new joiners
  • Reviewing financial promotion and marketing materials from a regulatory perspective
  • Undertaking regular compliance monitoring tasks including fair allocation and best execution
  • Responding to a variety of requests received in the Compliance inbox – which includes Compliance certifications, providing responses to RFP questions, reviewing cross trades etc
  • Assist with investment restriction arrangements, able to respond to FM questions re investment guidelines and restrictions and whether particular instruments are permitted within client mandates etc
  • Maintaining incidents log, complaints and other compliance registers
  • Handling wall crossing and market sounding notifications, maintaining restricted lists and various regulatory reports
  • Assisting with AML KYC requests relating to the firm
  • Assisting in other Compliance departmental duties

Key Skills

  • Relevant experience in a compliance team within an asset management firm
  • IT literate, competent with Excel, Word and PowerPoint
  • Experience of using an investment restriction system
  • Excellent communication skills – ability to deal with all levels of staff
  • Tactful and diplomatic
  • Desire to carry out a varied role and to learn and develop within a small Compliance Team
  • Be proactive, organized, practical and flexible
  • Resilient and resourceful, with the ability to thrive under pre

Fergus Hooley


07425 325267