Compliance Officer, Asset Management, City

  • Salary: £60,000 - £85,000
  • Location: City of London
  • Consultant: Emily Aldrich | 020 7588 8999
  • Reference: 926001

Immediate opportunity for a qualified and experienced compliance officer to oversee and manage compliance for asset management firm in the city.

You will be responsible for compliance strategy, developing and implementing policies, procedures and controls of day-to-day operations.

Working arrangements are flexible and negotiable.


  • Implement compliance systems, control measures and policies & procedures for the firm
  • Be aware of regulatory developments ensuring the business is kept well informed
  • Ensure all measures are in place to detect any risk of non-compliance
  • Implement corrective actions as necessary
  • Put in place a regulatory training programme around compliance and risk
  • Provide regulatory advice and guidance to the business areas
  • Management reporting to the Board
  • Manage relationships with regulatory organisations
  • Oversee all aspects of the firm’s AML activities
  • Design and set up internal anti-money laundering procedures including client due diligence
  • Respond to requests from FCA and law enforcement agencies
  • Ensure the firm meets reporting requirements to the FCA
  • Prepare reports and management information for the Board including preparation and presentation of the annual MLRO report
  • Receive and consider internal disclosures of suspected money laundering or terrorist financing and file suspicious activity reports
  • Advise the firm about obligations to comply with GDPR
  • Monitor compliance with GDPR, train staff and conduct internal audits
  • Be first point of contact for supervisory authorities and escalate to the ICO any data protection incidents.


  • The important requirement is for CF10 SM16 and SM17 is essential.


*The jobs we advertise are still live but our clients are seeking very precise experience and with offices closed throughout the city, recruitment is proceeding at a very different pace.  We ask for your patience and understanding. Thank you.*

Posted date: 29 May 2020


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