Compliance Officer - Generalist & Guideline Monitoring - CRD

  • Location

    London, England

  • Sector:

    Banking & Financial Services

  • Job type:


  • Salary:

    bonus + benefits

  • Contact:

    Guy Fraser

  • Contact email:

  • Job ref:


  • Published:

    12 months ago

  • Expiry date:


  • Consultant:


The Company

My client is an institutional asset manager which invests across traditional asset classes and alternative investments. The firm has over US $ 250 billion AUM and employs c. 700 people across the US, London and Singapore offices. The London office provides fixed income research, trading, sales & marketing, client services and portfolio management services to the UK and wider business.

The Role

You will be based in the London office and report directly into the UK Managing Director. The Compliance Officer will be an integral part of the Legal and Compliance Department, primarily responsible for monitoring local regulatory requirements and creating and maintaining the data bases and processes necessary to remain compliant with those regulations. This position will also be responsible for monitoring client investment guidelines for client accounts in the Charles River Compliance System ("CRD") and working with investment professionals and members of the Legal and Compliance Department to resolve guideline exceptions.

Why apply?

This would be a fantastic opportunity either for a guideline monitoring officer looking to gain more experience in a generalist role as well as someone looking to progress to a standalone Head of Compliance position within a couple of years.

The only red line is that you most have exposure and experience of working with Charles River Development (CRD).

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.