Senior Compliance Manager

London, UK
Full-time

Company Description

Octopus 

Octopus is a group of innovative, entrepreneurial businesses investing in the people, ideas and industries that will help to change the world. We are experts in financial services and energy, and we’re also a certified B Corp, meaning we care as much about the impact of our investments as the returns they generate. Today we manage more than £12.6* billion on behalf of retail and institutional investors. Our energy supply business is one of the fastest growing companies in the UK, reaching 3.1 million customers in just five years, and is the only supplier to be recommended by Which? four years in a row. 

Octopus Energy, Octopus Giving, Octopus Moneycoach, Octopus Investments, Octopus Renewables, Octopus Real Estate, Octopus Ventures, Octopus Wealth and Seccl Technology are all part of Octopus Group. Visit octopusgroup.com. 

*Funds Under Management data includes undrawn commitments, funds under advisory mandates, funds monitored and the Octopus Cash service as of 31st December 2021 

Job Description

About the Role

Senior Compliance Manager – Institutional Advisory – Investment Management

Octopus Investments is looking for a compliance advisory specialist to join the institutional compliance team at Octopus Investments to provide advisory services on:

  • global institutional distribution and marketing
  • real estate and sustainable infrastructure investment
  • quoted investments (AIM)
  • Octopus’ Alternative Investment Fund Manager (AIFM)
  • Client money and assets (CASS)

If you feel that you’re strong in some areas and not as strong in others, that’s fine – if you want to be part of a vibrant Compliance team, please apply!

Key responsibilities:

  • Provide timely and accurate compliance advice to support the business
  • Help to develop and maintain all necessary compliance policies, procedures and controls
  • Review proposed new fund and products to be set-up, on behalf of Compliance
  • Conduct thematic reviews on the Institutional business to find areas for improvement; along with suggestions as to how the business controls can be improved
  • Contribute to the implementation of regulatory changes
  • Submit regulatory returns and raise new fund requests to the FCA and international regulators
  • Provide training to the business and help to mentor other members of the team

Qualifications

  • 5-10 yrs Investment Management Compliance experience.
  • Good knowledge of at least some of the following:
    • Global distribution compliance advice
    • Institutional client assessments
    • Investment management services (e.g. discretionary managed portfolios, private funds, investment trusts)
    • Quoted (ideally AIM) investment controls – MAR, MiFID II
    • Control (design and operating effectiveness) assessments
    • Product Governance requirements
    • AIFMD
    • CASS
  • A team player who wants to be a part of a dynamic team that partners with the business to help Octopus Investments grow rapidly but safely

Additional Information

Our Values 

At Octopus we don't just focus on what we do but also how we do it. Everyone shares our values of being straightforward, helpful and bold. And while these are the principles that guide us as an organisation. 

What we offer

💰  A competitive salary, bonus, pension and share incentive plan
✈️ Take what you need holiday
🏡 Flexible working 
⚓ Anchor (our wellness hub) which includes Headspace, one to one coaching through Sanctus, Parent Cloud, Digital GP, Shout & more
👪 Enhanced family leave policies
❤️ Life insurance, critical illness cover and income protection
🏥 Private medical insurance for you and your family
🚗 Electric vehicle leasing
🌍 The option to work overseas up to a month per year