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Acadian Asset Management · 1 week ago

Compliance Officer (London)

Boston, MA

Full-time

Hybrid

Mid Level

3+ years exp

Acadian Asset Management is a global, systematic investment manager headquartered in Boston, specializing in data-driven investing. The Compliance Officer will be part of the global compliance team, responsible for developing and enforcing Acadian’s Compliance Program, ensuring adherence to regulatory requirements, and overseeing compliance-related tasks.

Asset ManagementFinanceFinancial Services

Comp. & Benefits

Responsibilities

Review and approve marketing and advertising materials, including, but limited to, prospect books, fact sheets, RFPs and due diligence questionnaires, to ensure compliance with the requirements of FCA Rules, the UCITS directive and other relevant UK and EU regulations

Oversee distribution agreements to confirm compliance

Review and approve personal trading and other required reporting under the firm’s Code of Ethics

Review clients and prospects for KYC and AML compliance

Prepare compliance specific reporting for clients as needed

Assist with the preparation and filing of required regulatory reporting

Assist with the review of client mandates to ensure compliance with contractual, firm, and regulatory requirements

Other compliance related responsibilities as directed

Qualification

FCA handbook knowledgeCompliance experienceRegulatory reportingMiFID IIAML regulationsStar ComplianceTeam orientationAttention to detailCommunication skills

Required

Bachelor's degree in Business or other related subject and 3-5 years of relevant compliance experience at an authorised investment manager

Strong working knowledge of the FCA handbook

Strong Experience with the review and approval of marketing and advertising materials

A working knowledge of many of the following is highly desirable: MiFID II, AIFMD, UCITS, SMCR, Consumer Duty, AML regulations, GDPR, IFPR and EMIR

Experience in the retail/wealth sector is a plus

Strong work ethic and attention to detail; Proven ability to handle simultaneous multiple tasks and meet competing deadlines with limited oversight and support

Team orientation and willingness to engage in tasks of all sizes; Great communication skills