Black Swan Group
Compliance Officer
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We are partnering with a highly respected global investment management business in its search for an experienced Compliance Officer to join its UK Compliance function.
This is an excellent opportunity for a compliance professional seeking broad exposure across a sophisticated international asset management platform. The successful individual will work closely with senior stakeholders across the business and play a key role in delivering practical compliance guidance within a dynamic and collaborative environment.
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The Role
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Reporting into senior compliance leadership, responsibilities will include:
- Providing day-to-day compliance advice to business stakeholders across investment, distribution, marketing and corporate functions
- Supporting the delivery of the Compliance Monitoring Programme, including risk-based testing and thematic reviews
- Maintaining and enhancing SMCR frameworks and record keeping
- Reviewing financial promotions across UK and international markets
- Supporting the ongoing development of compliance policies and procedures
- Advising on Personal Account Dealing, Gifts & Hospitality, Outside Business Interests and employee certifications
- Monitoring regulatory developments and assessing business impact
- Delivering compliance training and awareness programmes
- Supporting local and global compliance initiatives and projects
- Acting as a trusted compliance partner to key business areas
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