Description

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

The firm 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 approachable and experienced in dealing with the front office.

Hybrid working 3 days in the office.

The Role:

Reporting Directly to the CCO and working alongside 2 compliance analysts the role holder will be responsible for day to day compliance monitoring activities.

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
• 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 hybrid working.

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