Compliance Officer – Investment Boutique

About the role

Global emerging markets investment management boutique is looking for a mid‑level Compliance Officer to oversee compliance across its UK and US operations. Based in London, you will report to the Chief Legal & Compliance Officer and work closely with the CIO, providing proactive regulatory advice and handling queries from the business.

Key responsibilities

• Monitor and interpret UK (FCA) and US (SEC) regulatory developments affecting the firm.
• Develop, maintain and update compliance policies, procedures and investment guidelines.
• Conduct third‑party due diligence and anti‑money‑laundering (AML) reviews.
• Advise portfolio managers on regulatory implications of investment decisions.
• Prepare and file required regulatory submissions in both jurisdictions.
• Collaborate with legal, risk and investment teams to embed compliance into daily activities.

Required profile

• Minimum six years of buyside compliance experience.
• Demonstrated knowledge of SEC rules and filing requirements.
• Strong understanding of FCA regulations and AML obligations.
• Ability to work independently and partner with senior business leaders.
• Clear communication skills and a proactive approach to regulatory change.

Required skills

What we offer

• Opportunity to work in a fast‑growing investment boutique with international exposure.
• Clear progression path toward a global compliance role.
• Competitive remuneration package.