Compliance Officer (Asset Management)

Maldon Partners are recruiting a Compliance Officer for an Award-winning Asset Management Firm based in the City of London.

The firm is currently in super growth mode and has an AUM c£22BN and 80ppl in the London Offices, it has a global footprint and a great family feel culture.

The role requires an experienced buy-side Compliance Officer who is able to work in a varied role along side the CCO.

Hybrid working 3 days in the office.

The Role:

Reporting Directly to the CCO the role holder will be responsible for helping to ensure the firm meets its compliance and regulatory obligations.

Responsibilities will include but not be limited to:

• Monthly Compliance monitoring (best ex and allocation)
• Review of fin pro and cross-border distribution material (marketing material)
• Regulatory reporting FCA and SEC
• Review and update compliance manual, policies and procedures
• Development and distribution of training programmes
• Providing advice to the wider business
• Preparation of MI
• Ad Hoc Project work

Experienced Required:

• A minimum of 3yrs compliance experience in an investment / asset management firm
• Good knowledge of UK and international marketing regulations
• Previous compliance monitoring experience (NOT AML/KYC)
• Core Compliance experience (monitoring, policy and procedures, preparing MI and reg reporting)
• Good command of Excel / Powerpoint
• Excellent verbal and written communication skills

Salary:

The Compliance Officer role has a base salary of £65,000 - £75,000 depending on experience plus excellent benefits and bonus + hybrid working.

Please note only candidates who meet the above criteria will be contacted