Back to Job Search

Compliance Officer (Monitoring and Reg) Investment Management

  • Location: London, Greater London, England
  • Salary: £30000.00 - £40000.00 per annum per year
  • Job Type:Permanent

Posted 24 days ago

My client, a firm within the Investment Management Industry (who also have other business lines including a Bank) are searching for a Compliance Officer to join them on a permanent basis.


Over time, you will become responsible for leading the Investment Management Business' Compliance Monitoring, Regulatory Horizon Scanning, and also have some Risk Management duties. As you progress, there will also be an opportunity to gain experience in the Banking arm of the firm to really expand your development.


This is a role for somebody to grow in to over time, rather than knowing everything day number on.

There's a lot of potential on offer here under a manager who has progressed up through the business themselves and is a big believer in development of their employees (both ad-hoq & funded professional learning).


This being said, there are some things we would love you to know / have experience in already before being ready to apply:

  • Compliance Experience within the Investment Management Industry (ideally Compliance Monitoring/Assurance, or Regulatory Horizon Scanning). Experience within fin-crime unfortunately won't be counted.
  • An good understanding of FCA guidelines, Financial Services Regulation (i.e MiFID II) and some examples of when you have had to understand/interpret new legislation, and apply this to a business.
  • Ideally have some understanding of Risk Management & Operational Risk (if you don't that's okay)
  • Have some experience of presenting/communicating to senior managers, up to board/exec level.


The role will be based 2-3 days per week in the office, and you can work the rest from home if you would like to. During Covid there will be flexibility around this. The company have offices in Central London and a regional office around 45 mins train ride from London Bridge that you may need to travel to for meetings etc from time to time.

If you feel you meet the above criteria, please don't hesitate to click apply to find out more.

...