en
Jobs

Let our industry specialists listen to your aspirations and present your story to the most esteemed organisations in the UK, as we collaborate to write the next chapter of your successful career.

See all jobs
Services

The UK's leading employers trust us to deliver fast, efficient hiring solutions that are tailored to their exact requirements. Browse our range of bespoke services and resources.

Read more
About Robert Walters UK

Since our establishment in 1985, our belief remains the same: Building strong relationships with people is vital in a successful partnership.

Learn more

Work for us

Our people are the difference. Hear stories from our people to learn more about a career at Robert Walters UK

Learn more

Compliance Officer - Asset Management (18 Month FTC)

Save job

An exciting opportunity has arisen for a dedicated Compliance officer to join a leading independent wealth and asset management firm. This role is based in the heart of London, offering an 18-month fixed term contract. The successful candidate will be part of a dynamic team that manages the assets of some of the world's largest institutions, financial intermediaries and their clients.

  • Join a leading independent wealth and asset management firm
  • Be part of a dynamic team managing assets of global institutions
  • Enjoy a culture that values independent thinking and dedication to client service

What you'll do:

As a Compliance officer you will play a pivotal role in defining and implementing the Investment and Trading Compliance framework. You will be responsible for performing control testing related to Investment and Trading Compliance as part of the Compliance Monitoring Plan (CMP). Your role will also involve monitoring Equity and Fixed Income Best Execution, ensuring adherence to regulatory requirements. You will support the Gatekeeper within Equity and Fixed Income, ensuring compliance with policies and procedures. Additionally, you will conduct E-Communications monitoring to detect any violations or irregularities. Regular ad hoc reviews will be part of your responsibilities along with monitoring compliance with the Code of Ethics. You will develop expertise within fixed income and equities investment management & trading areas, offering practical guidance on Compliance policies.

  • Define and implement Investment and Trading Compliance framework including best execution, market abuse, fair & timely trade allocation, and cross trades.
  • Perform the Compliance Monitoring Plan (CMP) control testing related to Investment and Trading Compliance.
  • Monitor Equity and Fixed Income Best Execution ensuring adherence to regulatory requirements and industry best practice.
  • Support the Gatekeeper within Equity and Fixed Income, ensuring compliance with policies and procedures.
  • Conduct E-Communications monitoring to detect any violations or irregularities.
  • Conduct regular and periodic ad hoc and thematic reviews.
  • Monitor compliance with the Code of Ethics, particularly regarding employee’s outside business activities.
  • Develop expertise within fixed income and equities investment management & trading areas, offering practical guidance on Compliance policies and procedures.

What you bring:

The ideal candidate for the Compliance officer role will bring a minimum of 5 years’ proven experience in a similar role, preferably within an asset management firm. You will have strong knowledge of FCA rules and regulations coupled with sound knowledge of the financial services sector. Your effective analytical and organisational skills will enable you to handle multiple tasks with attention to detail despite strict deadlines. A proactive problem solver, you are driven to take ownership and investigate issues. Your ability to communicate confidently with senior management as well as other senior compliance stakeholders will be key in this role. A collaborative approach is essential, with a keenness to be part of a small, open, and communicative team.

  • Minimum of 5 years’ proven experience in a similar role preferably within an asset management firm.
  • Strong knowledge of FCA rules and regulations coupled with sound knowledge of the financial services sector.
  • Effective analytical and organisational skills coupled with the ability to handle multiple tasks with attention to detail despite strict deadlines.
  • Driven to take ownership, investigate issues proactively problem solve.
  • Ability to communicate confidently with senior management as well as other senior compliance stakeholders.
  • Collaborative in your approach; keen to be part of a small, open, and communicative team.

What sets this company apart:

This company is one of the world’s leading independent wealth and asset managers. With its roots dating back to 1805 and headquartered in Geneva, Switzerland, the company has a global presence with 30 offices in financial centres worldwide. The company prides itself on its culture that welcomes independent thinkers and centres around investment excellence, long-term perspective and dedication to client service.

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates

Contract Type: CONTRACTOR

Specialism: Risk & Compliance

Focus: Compliance

Industry: Financial Services

Salary: Negotiable

Workplace Type: Hybrid

Experience Level: Mid Management

Location: London

Job Reference: PX81QC-5565BEEB

Date posted: 06 June 2024

Consultant: James Kelly

I'm Robert Walters Are you?

Come join our global team of creative thinkers, problem solvers and game changers. We offer accelerated career progression, a dynamic culture and expert training.