Compliance Officer, Testing & Monitoring
On-site · London, England, United Kingdom
Job Summary
Lead the Compliance Monitoring Programme (CMP) and support the development of a global testing function. Act as a key point of contact for compliance testing activities across jurisdictions. Deliver thematic reviews and targeted testing, ensuring timely remediation of identified gaps. Partner with Investment teams to understand new processes and asset classes, and enhance the CMP accordingly. Perform detailed investment compliance testing, including sampling, control validation, and documentation of results. Assess control effectiveness and identify areas for enhancement. Produce clear reporting for senior management and governance forums, including Board-level updates. Lead compliance risk assessments and support the identification and ongoing monitoring of key compliance risks. Monitor regulatory developments and conduct gap analyses to ensure ongoing compliance. Support regulatory reviews, audits, and internal control assessments.
Required Qualifications
- Bachelor’s degree in Law, Finance, Economics or similar
- professional compliance qualifications (e.g. ICA, CISI or equivalent) advantageous
- 8+ years’ experience in compliance monitoring and testing within hedge funds, asset managers, or investment banks
Desired Qualifications
- Bachelor’s degree in Law, Finance, Economics or similar
- professional compliance qualifications such as ICA, CISI or equivalent (advantageous)
- 8+ years’ experience in compliance monitoring and testing within hedge funds, asset managers, or investment banks
- strong knowledge of global regulatory frameworks (e.g., MiFID, AIFM)
- ability to lead compliance monitoring programmes and governance reporting
- experience engaging with senior stakeholders and presenting to governance forums
- strong analytical skills and attention to detail
- ability to manage multiple reviews simultaneously
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