Compliance Officer

  • Highly competitive package
  • Bristol, England, United Kingdom
  • Permanent, Full time
  • Non-disclosed
  • 18 Oct 17 2017-10-18

Based in the South West, this well-established, boutique fund management firm with a focused long-only equity strategy is looking to hire a Compliance Officer to join them.

The successful candidate will have responsibility for compliance within the firm. As this is a small firm, there is a mix of higher-level and hands-on work, so applicants should have experience of operating in a similar environment or be ready to step into a role where this is required.


It is envisaged that once you are settled into the firm, you will take on the controlled functions (CF10 & 11). The firm is also SEC regulated, so you will also take on responsibility for related compliance work.   



This is a varied role where you will always be challenged in different ways. Responsibilities include (but are not limited to):  


  • Possess and maintain solid knowledge of UK and US laws and regulations
  • Manage relationships with regulators (FCA & SEC) and auditors
  • Ensure that the compliance manual and associated policies remains current
  • Provide compliance training, as required, throughout the firm
  • Deliver meaningful and practical regulatory advice to colleagues
  • Design and update the monitoring program
  • Conduct a planned series of monitoring on a regular basis
  • Ensure that any material issues are raised with the board
  • Maintain all relevant records (PA dealing, G&E, etc)
  • Ensure that all employees/partners are registered correctly with the FCA
  • Prepare the firm’s ICAAP
  • Ensure sufficient capital is in place to meet capital requirements
  • Assist with other ad hoc duties as specified from time to time
  • Complete all relevant reporting and forms in a timely fashion
  • Quarterly regulatory issues report (CEO and Executive Committee)
  • Periodic FCA returns and annual fee schedule
  • Periodic update of SEC forms (ADV1, ADV2 Form PF, Form D)
  • Any new FCA approvals, change of permissions, etc
  • Quarterly AIFMD reporting



Key Experience & Skills


  • A proven track record in compliance gained on the buy-side
  • Possess solid UK and US regulatory knowledge
  • Institutional as opposed to retail compliance experience
  • Currently or have recently held the CF10 & 11, or operated at a similar level.
  • A solid understanding of Equities
  • Previous experience and of working in a boutique firm, or a desire to move into that environment
  • Demonstrate integrity and clarity of thought in decision-making
  • Possess strong inter-personal skills
  • Drive to work to the highest standards
  • Able to deliver on own workload whilst operating effectively as part of a small team