Compliance Officer
Job Description
An established financial services business within the asset management space is looking to appoint an experienced Compliance Officer to support and strengthen compliance governance across the division. This role offers exposure to senior stakeholders and plays a key part in ensuring regulatory alignment in a fast-paced, highly regulated environment.
Why join this team?You will be joining a well-structured, professional environment where compliance is viewed as a strategic partner to the business. The role offers autonomy, meaningful stakeholder engagement, and the opportunity to work across a broad regulatory landscape within asset management.
What you will be doing:- Overseeing and maintaining the compliance risk management and monitoring framework
- Monitoring, analysing, and implementing regulatory and legislative changes
- Preparing compliance, regulatory, and statistical reports for internal and external stakeholders
- Reviewing marketing material to ensure regulatory compliance
- Providing advisory support on compliance-related queries across the business
- Managing compliance projects end-to-end
- Maintaining FAIS procedures, manuals, and key individual/representative registers
- Monitoring and reporting on FAIS, AML/FICA, and TCF-related matters
About This Role
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