Compliance Officer

Michael Page International Rec Ltd
London (Greater)
10 Feb 2018
15 Feb 2018
Contract Type
Full Time
The financial services compliance officer will join the Global Investment Manager in their London team but will have communications with the wider compliance team in Europe.

Client Details

A financial services- Global Investment Manager


The successful financial services- compliance officer will be responsible for the following:

Role and Accountabilities:

Advice and Training

Provide compliance advice to colleagues from investment management, asset management and other departments regarding compliance matters including for example, internal compliance requirements, conflicts of interests, regulatory developments and FCA rules.

Respond to compliance questions included in invitations to tender received from potential clients.

Deliver compliance training.

Compliance monitoring

Develop the compliance monitoring programme enhancing existing checks and adding new ones (compliance monitoring is managed via the Charles Compliance System)

Undertake the compliance monitoring programme, reporting on findings, making recommendations and ensuring they are successfully implemented.

KYC and sanctions

Undertake KYC and client categorisation checks regarding new clients.

Review and sign-off on KYC in respect of parties we transact with.

Maintain KYC database.

Review and resolve sanction and PEP matches generated via the ongoing online screening process.

Compliance Framework

Assist with the impact assessment of new FCA rules and EU Directives.

Submit returns to the FCA.

Maintain key documents, databases and registers.

Assist with the drafting of the Quarterly Compliance report for the board.

Systems Management:

Oversee and monitor the correct use of the system.

Initiate the 6 monthly verification process.

Identify and deliver enhancements to the way we use the system.


Work with the European General Counsel and European Compliance Director on regulatory and M&A projects and certain investment transactions.

Review non-disclosure agreements and regulatory clauses in investment management agreements and similar.

Work, and share best practices, with the other Compliance Officers with travel if necessary.

London based role


The successful financial services- compliance officer will have:

Required Qualifications:

Degree level education

A strong working knowledge of investment management industry, preferably real estate, desirable

FCA regulatory knowledge required

Legal qualifications and knowledge desirable.


Confident self-starter

Persuasive and diplomatic with the confidence to push back as needed

Good communicator.

Job Offer

Competitive Package on offer

Based in London
This job was originally posted as

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