Asset Manager

Regulatory and Compliance Officer, London

Regulatory and Compliance Officer (London): Our client a successful asset management firm is looking to expand their team and bring on a bright and motivated compliance professional. This new hire will be primarily focused on the firm’s European regulatory and compliance program from their London office, working across various groups within the firm. 


Key Points:

  • Firm is seeking a US trained compliance professional to relocate with their team to London so exceptional opportunity to move overseas  
  • Opportunity to work for a diverse asset manager in a true generalist capacity
  • Team hires intelligent, hardworking, and driven individuals – this new hire will be surrounded by excellence


  • Assist with the implementation of the compliance monitoring program, documenting regulatory updates and other regulatory interactions; manage regulatory filings required by the FCA on Gabriel and FCA Connect, the UK Companies House, Guernsey authorities and other European jurisdictions, including AIFMD and MiFID-related reports
  • Provide support with the execution of policies and procedures; manage KYC/AML responses to counterparties and manage a regulatory database of trading counterparties
  • Assist with maintaining the restricted list and coordinate wall crosses; coordinate European short and long position and Takeover Panel filings
  • Assist with reviewing systems and controls as it relates to conduct, business and operational risk; collaborate with the firm’s business partners toensure compliance with applicable rules, laws, regulations and supervisory guidance


  • 2 – 4 years of relevant compliance and/or regulatory experience within an FCA authorized firm or other European regulator (MiFID II, AIFMD, MAR and 4AMLD); robust educational credentials 
  • Must possess acute attention to detail, intellectual strength and a strong sense of ownership; comfortable working in a collaborative environment with excellent communication and interpersonal skills
  • Experience in preparing regulatory filings with a strong understanding of various rules and laws; comfortable practicing discretion and working withsensitive/confidential matters 

Job Reference #1494

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