Generalist Compliance Officer

21st December 2022

Generalist Compliance Officer - £70,000

6 Months Contract

London Investment Manager

Our client, a leading investment manager, is looking for a generalist Compliance Analyst to assist the Compliance department, ensuring the firm is compliant with all regulations. You are required to have experience in shareholder disclosure, monitoring and takeover panel, financial promotion sign off and experience in an Investment Manager or similar.

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  • Execute daily regulatory reporting monitoring – Major Shareholder Disclosure, Short Selling and Takeover Panel.
  • Monitoring and sign off of Financial Promotional material.
  • Complete Disclosure requests and Conflict of Interest management.
  • Employee Compliance oversight, including training and gifts and entertainment.
  • Provide Compliance Advice in connection with new and existing business proposals.
  • Complete KYC onboarding and money laundering reporting.



  • Experience in a generalist compliance capacity.
  • Experience with Shareholder reporting and monitoring.
  • Experience in an Investment Manager, Asset Manager, Fund Manager or similar.
  • Understanding of FCA rulebooks, in particular: COBS, SYSC and Best Practice.
  • Highly desirable to have experience with Bloomberg AIM.
  • Knowledge of alternatives, in particular UCITS.
  • French desirable but not essential.

Please contact Lascelles Reid-Barlow at for more information.

For all enquiries please email

Generalist Compliance Officer - £70,000

6 Months Contract