Compliance Officer

Full Job Description

Job Advert: Compliance Officer

Job Title:                          Compliance Officer

Job Type:                         Permanent

Hours:                             Full Time, 08:00 – 18:00, Monday to Friday

Office Location:               West End

Salary:                              Market rate

Benefits:                          Bonus, pension, healthcare and other benefits

We have an exciting opportunity for a highly motivated individual to join our team as a Compliance Officer, based in our offices in London's West End. You will be responsible for the effective management of the relationships of our clients and implement the firms Compliance and Financial Crime Program, functioning as an independent and objective body that reviews and evaluates compliance and financial crime issues/concerns within the organisation.  As part of the Compliance team you will assist with ensuring the firm’s Board of Directors and employees are in compliance with the FCA and SEC rules and regulations and that company policies and procedures are being followed.  In order to do this, you will need to have a strong understanding of financial services, and have experience with working in the world of investment management.

Who are we?

We are a private multi-family office and work with individuals and institutions.

What's the role?

• Maintain and implement a robust compliance framework, policies, and procedures in accordance with relevant regulatory requirements, industry best practices, and internal guidelines.
• Assist with the day-to-day compliance operations, including monitoring, surveillance, and reporting on compliance risks, incidents, and breaches.
• Assist the Money Laundering Reporting Officer (MLRO), ensuring effective implementation of anti-money laundering and counter-terrorism financing (AML/CTF) measures.
• Assist with the conduct of risk assessments, compliance reviews, and audits to identify and address any compliance gaps or weaknesses.
• Stay up-to-date with regulatory developments, industry trends, and emerging risks to ensure timely implementation of necessary changes and enhancements to the compliance program.
• Provide wider team with advice and guidance on compliance-related matters.
• Collaborate with various internal departments, such as legal, operations, risk management, and IT, to ensure compliance considerations are integrated into business processes, products, and services.
• Establish and maintain effective relationships with external regulatory bodies, industry associations, and other relevant stakeholders.
• Ensure that client files are maintained in accordance with Company policies, take compliance ownership of the accounts and lead/run file reviews for all accounts alongside the Company’s compliance department;
• Review sales and marketing documentation to ensure it is line with financial promotion rules;
• Assist with the review the onboarding of all new clients;
• To work as part of a team to deliver the highest level of service;
• Take ownership and show initiative for your own development;
• Comply with all lawful decisions and directions of the Management Team and the Board; and
• Ensure that you conduct your affairs with fidelity and with the highest standards of ethics and integrity.

You'll need to have:

• Extensive experience in a senior compliance role within an FCA-regulated environment, ideally in the wealth management and investment management sectors.
• Thorough understanding of AML, KYC, and financial regulatory frameworks.
• Demonstrated leadership skills with the ability to steer and develop a high-performing team.
• Excellent analytical, organisational, and communication skills.
• Proficiency in compliance software and technology platforms.

The successful candidate will be degree educated and must have gained a minimum of seven years of investment management FCA compliance experience, with a good knowledge of relevant UK and EU rules and regulations (including (MIFID, UCITS, AIFMD). Previous MLRO experience is useful but more important is good product knowledge (Equities, FI & FX) as well as a “sleeves rolled up approach”, willing to learn new material, taking responsibility and getting involved in the details of compliance issues.

NB You must be eligible to hold the SMF 16 & 17, although no need to have held before so may suit someone looking for their first SMF role.

If this sounds like you:

Apply today! We're eager to speak with you.

We are an equal opportunity employer and value diversity at our company.  We do not discriminate on the basis of race, religion, colour national origin, gender, sexual orientation, age, marital status, veteran status or disability.