Compliance Officer - London, United Kingdom - Loomis, Sayles & Company, L.P.

Description

Function:
Legal & Compliance
Job ID #:1232

- ***
Department:Compliance
Position Type:Full-Time
Education Required:See Job Qualifications
Location:London, England
Experience Required:See Job Qualifications
Position Description

Loomis Sayles is a performance-driven active asset management company that seeks to identify exceptional investment opportunities on behalf of institutional and retail clients worldwide.

We believe active management fueled by proprietary, best-in-class research helps us achieve financial success for our clients.

Founded in 1926, Loomis Sayles currently oversees approximately $300 billion in assets under management for global clients spanning more than 50 countries.

We foster a culture of entrepreneurialism, where all employees are empowered and encouraged to develop themselves and their ideas.

Our culture centers on our shared
IDEALS, the core characteristics of who we aspire to be as employees and an organization.

INCLUSIVE & DIVERSE -
DEDICATED TO TEAMWORK -
EXCELLENT -
ACCOUNTABLE -
LEADERS -
SOLUTION-ORIENTED


About the Role
Loomis Sayles Investments Ltd. ("Loomis UK") has an opening for a Compliance Officer. The Compliance Officer will be an integral part of Loomis UK and the Loomis, Sayles & Company, L.P.

("Loomis US") Legal and Compliance Department, primarily responsible for monitoring local regulatory requirements, and creating and maintaining the databases and processes necessary to remain compliant with those regulations.

This position will also be responsible for auditing client guidelines against the guideline coding in CRD and working on ad hoc regulatory compliance related projects as needed.

About the Team

The Compliance Officer will report to the Deputy Chief Compliance Officer of Loomis US and the Managing Director of Loomis UK.

Responsibilities:

• Creation and submission of required regulatory filings
• Monitor MiFID II and SM&CR requirements and our compliance with them, including creation and submission of required reports
• Keep up to date with any changes to regulations that would impact the Firm via newsletter and industry events
• Set up and maintain logs/registers for items covered from Boston so that information is readily at hand at Loomis UK
• Monitor Continued Professional Development ("CPD") logs for employees to ensure employees are satisfying the requirements for employees undertaking regulated activities
• Prepare quarterly board meeting materials and annual Money Laundering Reporting Officer ("MLRO") report
• Resolve trading and guideline errors that occur due to Loomis UK trading activity in accordance with the Loomis Sayles Trade Error Policies and Procedures
• Ensure compliance with the Loomis Sayles Global Compliance Manual Policies and Procedures
• Alert Loomis Sayles compliance personnel of any Financial Conduct Authority ("FCA") regulatory developments that would require updates to the Loomis Sayles Global Compliance Manual
• Review client guidelines against guideline coding in CRD to identify any discrepancies
• Work on ad hoc regulatory compliance projects, as needed under US, Netherlands or French regulations.

Qualifications

Qualifications & Education Requirements

• Bachelor's degree in Business, Finance, Accounting, Management or Law
• Current or prior asset management FCA SMF16 designation required
• At least 8 years compliance experience, preferably at an investment adviser
• Working knowledge of FCA regulations
• Working knowledge of MiFID II and SM&CR components and requirements
• Exposure to and/or familiarity with fixed income securities is required
• Detail oriented with strong organizational skills
• Strong written and oral communication skills
• Must be able to work independently

Additional Requirements

• The position follows a hybrid work schedule with three days WFO (Tuesday/Wednesday/Floating third day) and 2 set days WFH.