Senior Central Compliance Officer, Asset Management

We are seeking a Senior Central Compliance Officer to join a leading UK-based investment management firm with a global presence. This is an exciting opportunity to play a central role in shaping and maintaining a robust compliance framework within a dynamic and internationally expanding organisation.

About the Role

As a Senior Central Compliance Officer, you will play a key role in overseeing and enhancing core compliance functions including personal account dealing, inducements, conflicts of interest, and firm-wide training. Reporting to the Head of Central Compliance, you will collaborate closely with colleagues across the compliance team and wider business to ensure effective compliance oversight and contribute to the firm’s strategic regulatory initiatives.

This is a hands-on role for a proactive compliance professional who thrives on challenge, is adept at problem-solving, and has strong expertise in regulatory frameworks such as MIFID, CASS, EMIR, and GDPR.

Skills & Experience Required

• Proven experience in a central compliance role within asset or investment management.
• Excellent working knowledge of MIFID, CASS, EMIR, MIFIR, GDPR, UCITS, and AIFMD regulations.
• Demonstrated experience with regulatory change management and implementation.
• Strong analytical skills and data literacy; familiarity with Microsoft Power Platform and other automation tools is an advantage.
• Ability to assess regulatory risks holistically and consider downstream impacts of compliance decisions.
• Experience navigating and interpreting global regulatory rulebooks aligned with a cross-border business model.

Key Responsibilities

• Maintain and evolve the central compliance framework across the business.
• Monitor adherence to core compliance policies and provide regular management information reporting.
• Act as a subject matter expert on emerging regulatory changes, contribute to industry consultations, and coordinate internal responses.
• Provide second line oversight on CASS arrangements, including breach assessments, client money reviews, and regulatory notifications.
• Oversee EMIR and MIFIR regulatory reporting, assess breaches, and coordinate notifications to relevant authorities.
• Support data protection compliance, including data subject access requests and reportable events.
• Advise on conflicts of interest and perform assurance testing where appropriate.
• Contribute to regulatory reporting including DTR, POTAM, SSR, and AIFMD-related requirements.

If you are an experienced compliance professional ready to make a meaningful contribution in a senior capacity, we encourage you to apply and join a collaborative, forward-thinking compliance team.