Deputy Compliance Officer – Investment Management

£60K-£80K + Bonus & Benefits
19 Aug 2020
18 Sep 2020
Contract Type
Full Time

We are recruiting for large Institutional Investment Management firm looking for a Deputy Compliance Officer to join their team. Candidates must have excellent qualifications including a minimum 2.1 degree, alongside relevant Compliance experience within a similar business. An excellent opportunity for a candidate looking to make the next step up on the career ladder.

Main Responsibilities:

  • Responsible for co-ordinating and supervising the operation of the rolling risk based monitoring programme.
  • Supporting the Head of Compliance in the maintenance of a good working relationship with the FCA and assisting in the management of any onsite inspection visits.
  • Responsibility for ensuring the risk framework reflects key company risks and take input from business quarterly and run updated reports for business.
  • Advising the business on regulatory matters on a daily basis.
  • Assist with Guideline Monitoring duties as and when required.
  • Carry out compliance projects as and when required.

Job Requirements:

  • At least 5 years Compliance experience working within an Institutional Investment management business.
  • Excellent qualifications, education & professional, with a minimum a 2.1 degree ideally from a top university.
  • Excellent analytical skills, good IT skills an additional bonus.
  • Excellent communication skills, both written & verbally.


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