Compliance Officer, Asset Management

Role Overview

• Support the SMF 16/17 in all investment compliance oversight activities.
• Undertake compliance monitoring activities, ensuring that relevant evidence is recorded appropriately and any findings are resolved on a timely basis.
• Ensure compliance policies are reviewed and updated on a regular basis.
• Provide compliance input into projects as required.
• Review breaches and operational errors, liaising with the ACD and Management Company to ensure satisfactory resolutions.
• Monitor PA dealing requests and Gifts and Entertainment submissions.
• Review and approve financial promotions.
• Assist the SMF16 in the preparation of management information for Committee and Board reports.
• Assist the SMF16 in due diligence requests and audits.
• Assist the SMF17 in all areas of AML & financial crime.
• Adherence to consumer duty and ensuring good client outcomes.
• Support with wider Titan projects as and when required.
• Adhere to all FCA regulations including consumer duty.

Requirements

• Previous compliance experience in an Asset Management, Fund Administration or ACD/Management Company environment necessary.
• Candidates with previous experience in an investment operations role looking to move to investment compliance may be considered.
• Experience of performing monitoring activities, audits or other forms of reviews.
• The candidate is expected to have good knowledge in the following subjects: MIFID, UCITS and AIFMD requirements, AML and financial crime, fund and product governance, systems and controls, conflicts of interest, consumer duty.
• Candidates must have a high level of attention to detail.
• A proactive self-starter with the ability to work effectively in a busy and evolving environment.

Benefits

• Attractive Employee Pension Scheme (7.5% employer & minimum 3% employee)
• 25 days Annual Leave + public holidays
• Buy and sell holidays up to 5 days
• Office Christmas close (3-days)
• A range of benefits which includes private medical insurance, Group life insurance, and income protection insurance.
• Hybrid working
• Further education and training support
• Discretionary performance related bonus
• Confidential Employee Assistance Programme
• 2 days per year for voluntary work
• And lots of flexible benefits to choose from!