Junior Compliance Officer

Job Details


West London

Job Description

Junior Compliance Officer

Salary: Up to £40,000. Excellent bonus and benefits.

Our client, a boutique asset manager, are looking for a Junior Compliance Officer to work alongside the wider team to assist in all compliance aspects of the business as well as being involved in project work.

To work with the rest of the compliance team to complete all daily/weekly/monthly tasks, including regulatory disclosures, and post trade monitoring, as well as involvement in the Compliance Monitoring Plan. Involvement in a wide range of tasks and projects including front office advice and oversight, investment guidelines and financial crime.


  • Assist the Compliance Manager in completing daily/weekly/monthly compliance tasks;
  • Review regulatory disclosures;
  • Manage ethics processes, including PA Dealing and Gifts and Hospitality;
  • Assist the Compliance Manager in implementing the Compliance Monitoring Plan through surveillance tasks – including market abuse and best execution;
  • Assist the Compliance Manager in implementing the Compliance Monitoring Plan through thematic reviews – including external visits;
  • Review regulatory developments on a weekly basis;
  • Review financial promotions and other marketing documentation produced by the marketing team;
  • Assist in maintaining Investment Guideline rules within the order management and trading system;
  • Assist the team in advising the business on the implications of current and future laws, regulations, codes and standards;
  • Review new broker arrangements.

    Skills and Experience:

  • 1-2 years’ compliance experience necessary;
  • Good regulatory knowledge – specifically the Financial Conduct Authority, but knowledge of the Central Bank of Ireland and Commission de Surveillance du Secteur Financier also useful;
  • Knowledge of order management and trading systems would be useful;
  • A commitment to a career in compliance.


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