Senior Compliance Officer

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Job Description

A leading global asset management firm is seeking an experienced Compliance Associate to join its EMEA team, supporting product compliance and regulatory initiatives across the UK and Europe. The firm emphasizes integrity, collaboration, and career growth, offering a supportive and flexible environment.


Key Responsibilities

  • Advise on UK product compliance, ensuring alignment with regulations such as FCA COBS, COLL, PROD, Consumer Duty, Assessment of Value, and ESG/SDR.
  • Partner with internal teams (Product, Risk, Fund Accounting, etc.) to establish effective, risk-based controls.
  • Maintain and enhance compliance frameworks, policies, and oversight processes.
  • Support risk-based monitoring and testing programs in collaboration with risk and audit functions.
  • Provide guidance on regulatory change impacts, deliver training, and ensure operational readiness.
  • Participate in cross-functional projects, embedding compliance controls into new products and processes.
  • Contribute to internal reporting, escalation of risks, and interaction with regulators or third-party reviews.
  • Mentor colleagues, share best practices, and represent the compliance function internally and externally.


Requirements

  • Strong background in asset management compliance, ideally 6+ years of relevant experience.
  • Solid knowledge of UK and EU fund regulations (UCITS, AIFMD, MiFID).
  • Understanding of ESG frameworks and related reporting obligations.
  • Excellent communication, analytical, and project management skills.
  • Proven ability to work independently under pressure and manage multiple priorities.

Apply
Location:
City Of London
Job Type:
FullTime
Category:
Business

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