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Compliance Officer (12 month FTC)

  • Job
    Full-time
    Mid-level (3-4 years)
  • London
  • Quick Apply

AI generated summary

  • You should have experience in compliance, strong analytical skills, knowledge of financial regulations, and the ability to communicate effectively while maintaining attention to detail.
  • You will ensure regulatory compliance, monitor internal policies, conduct audits, prepare reports, and provide guidance on compliance matters to support operational integrity and risk management.

Requirements

  • 3+ years of investment management compliance experience
  • Proven experience supporting an investment compliance framework
  • Strong interpersonal and organisational skills
  • Good communication skills and ability to build strong relationships across the compliance team and broader business
  • A proactive nature and pragmatic work ethic
  • Ability to work to strict deadlines and work under pressure
  • Ability to investigate issues and proactively problem solve
  • Demonstrated ability to communicate comfortably with senior management
  • Analytical, high level of data literacy and able to drive automation and smarter ways of working

Responsibilities

  • Provide oversight and advisory services in all investment related activities ensuring they remain in line with regulatory obligations and risk appetites
  • Contribute to the execution of the compliance monitoring programme through thematic review work and ongoing monitoring and surveillance activities.
  • Provide oversight and advice in respect to investment related processes including but not limited to trade order, eligible markets and instruments and Market Abuse Regulations.
  • Provide pro-active advice and insight into investment management related regulatory change and oversee and support the implementation of such change from a second line perspective.
  • Assist in the investigation of potential conflicts of interest in respect to investment management and agree/test controls for appropriate management of such conflicts.
  • Work closely with the Portfolio Compliance team in respect to advice and oversight to mandate adherence.
  • Assist with the maintenance of investment related policies and procedures, ensuring they remain fit for purpose through regular review.
  • Support the broader compliance team to ensure continuity of compliance related activities as and when required.
  • Ensure effective cross-skilling to support the broader department

FAQs

What is the duration of the Compliance Officer position at Jupiter?

The Compliance Officer position is a 12-month fixed-term contract (FTC) to cover maternity leave.

Where is Jupiter located?

Jupiter's main office is located in London, just minutes from Victoria station, providing easy access via both the Underground’s Victoria line and National Rail platforms.

What kind of hybrid working arrangement is offered for this position?

The role offers a 3:2 hybrid working arrangement, where employees work from the office on Tuesdays, Thursdays, and a third day of their choice, while the other two days may be worked from home.

To whom will the Compliance Officer report?

The Compliance Officer will report to the Head of Investment Compliance and the Deputy Head of Compliance.

What are the primary responsibilities of the Compliance Officer?

Key responsibilities include providing oversight and advisory services for investment activities, contributing to the compliance monitoring program, advising on investment-related processes, assisting with regulatory changes, investigating conflicts of interest, and maintaining investment policies and procedures.

What qualifications or experience is required for this role?

The ideal candidate should have 3+ years of investment management compliance experience, proven experience supporting an investment compliance framework, strong interpersonal and organizational skills, and the ability to communicate effectively with senior management.

Is there a specific skill set that applicants should have?

Yes, applicants should possess strong analytical skills, high data literacy, the ability to problem-solve proactively, and be able to work under pressure and to strict deadlines.

Are there any specific rules or regulations associated with this role?

Yes, this role is subject to the Conduct Rules set by the Financial Conduct Authority (FCA).

What if I don’t meet every requirement listed in the job description?

Jupiter encourages applicants to apply even if they don't meet every requirement, as they are dedicated to building a diverse and inclusive workplace. You may still be the right fit for the role.

The value of active minds

Finance
Industry
501-1000
Employees
1985
Founded Year

Mission & Purpose

The Jupiter difference Our distinct, entrepreneurial culture is based on giving talented professionals the freedom to pursue their own investment styles within a collaborative environment. Jupiter is a specialist, high conviction, active asset manager. We exist to help our clients achieve their long-term investment objectives. From our origins in 1985, Jupiter now offers a range of actively managed strategies available to UK and international clients including equities, fixed income, multi-asset and alternatives. Jupiter is a constituent member of the FTSE 250 Index. Independence of thought and individual accountability define us. Our fund managers follow their convictions and seek those investment opportunities that they believe will ensure the best outcome for our clients. They do this through fundamental analysis and research, a clear investment process and risk management framework, with a focus on good stewardship. We believe that asset managers have a critical leadership role to play in helping to resolve some of the greatest challenges facing the world. In this spirit, we are proud of our long-established credentials in the fields of ESG and sustainable investment, and of our ongoing commitment to specialism and innovation in these areas. Jupiter is a constituent member of the FTSE4Good Index, and a signatory on a number of key initiatives such as the UN Principles for Responsible Investment.