Senior Regulatory Compliance Officer

Location: The City of London (Hybrid: 3 days in office, 2 days WFH)
Industry: Asset Management / Investment Management
Salary: Competitive (with a comprehensive benefits package)

About the Role:

An exciting opportunity has arisen for an experienced Senior Regulatory Compliance Officer to join a leading global asset management company based in the City of London. As part of the compliance team, you will play a pivotal role in ensuring that the firm adheres to all relevant regulatory frameworks, including FCA rules and Market Abuse regulations, while interacting with both internal and external stakeholders. This is a fantastic opportunity to advance your career within a multinational organisation, reporting directly to the Deputy Head of Compliance.

Key Responsibilities:

• Regulatory Compliance: Ensure that the company complies with all relevant regulatory requirements, including FCA rules, guidance, and SMCR regulations.
• Advisory Role: Provide expert compliance advice to internal teams on matters related to asset management, regulatory requirements, and operational procedures.
• Stakeholder Engagement: Liaise with key internal and external stakeholders to ensure compliance with applicable regulatory standards and assist with any regulatory reporting or investigations.
• Regulatory Reporting: Develop and manage regulatory reporting processes in line with FCA guidelines and industry standards.
• Policy and Procedure Review: Maintain a strong understanding of internal compliance policies and procedures, ensuring they align with external regulatory developments.
• Risk Management: Assist in identifying, assessing, and mitigating compliance risks across the organisation.

Skills & Qualifications:

• Experience: Minimum of 5 years' experience in financial services compliance, specifically within the asset management sector.
• Advisory Expertise: Proven experience in providing compliance advisory services within the asset management sector, ideally in multinational organisations.
• Regulatory Knowledge: Strong knowledge of FCA rules and guidance, Market Abuse regulations, and the Senior Managers and Certification Regime (SMCR).
• Communication: Excellent interpersonal and communication skills, with the ability to engage with stakeholders at all levels.
• Attention to Detail: Strong analytical and organisational skills, with the ability to manage complex compliance matters effectively.
• Qualifications: Relevant compliance or financial services qualifications would be a plus.

What’s On Offer:

• Competitive Salary: A competitive salary package based on experience.
• Hybrid Working: Flexibility to work from home for up to 2 days a week.
• Benefits: A strong pension plan, excellent work-life balance, and tuition reimbursement to support your career development.
• Career Progression: Opportunity to grow within a global organisation with significant opportunities for professional development and career advancement.

How to Apply:

Please submit your CV to