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Senior Compliance Officer

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Brewin Dolphin

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Location:
United Kingdom , London

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Category:
Legal

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Contract Type:
Not provided

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Salary:

Not provided
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Job Description:

This is an exciting opportunity to join our dynamic RBC BlueBay Compliance Advisory UK team as a Senior Compliance Officer, where you will play a vital role in providing expert compliance advice, managing regulatory risks, and driving key business initiatives. In this pivotal position, you will ensure RBC BlueBay's adherence to regulatory requirements while actively contributing to the firm's success. This is a unique opportunity to thrive in a collaborative environment and make a meaningful impact on both the organization and your professional growth.

Job Responsibility:

  • Provide expert regulatory advice UK/EU UCITS and Alternatives funds
  • Provide expert regulatory advice on US 40 Act Funds
  • Support the compliance team in maintaining the Restricted List of issuers on which BlueBay may hold inside information, including managing wall-crossing, pre-sounding of new issues, review of Investment Management Agreements and Confidentiality Agreements
  • Complete periodic compliance certifications for clients in accordance with IMA reporting obligations
  • Conduct conflict checks on potential investment opportunities and escalate identified conflicts to the line manager for discussion and resolution
  • Provide advice on ESG, Responsible Investment and Taxonomy matters
  • Drive the alignment and integration with enterprise standards
  • Drive efficiencies and enhancements to existing Compliance controls and framework
  • Development, review and maintenance of robust Compliance Policies and Procedures for RBC BlueBay UK
  • Assist with the delivery of Compliance Management Information for periodic reports to the Board and Committees
  • Provide ongoing support to maintain the accuracy of RCM for the business areas covered and contributing to compliance risk assessments
  • Conduct Compliance Monitoring of business areas covered as required
  • Provide advice on general queries relating to Requests For Proposals and ensure the standard responses covering the Compliance department are up-to-date
  • Develop a training program and conduct compliance training to support business awareness and understanding of firm and regulatory standards
  • Participate in business projects and enterprise initiatives, offering compliance guidance
  • Support the compliance central teams with the delivery of testing and surveillance escalation and policy breaches closure
  • Monitor and manage compliance risks, ensuring adherence to regulatory requirements
  • Develop and maintain strong relationships with internal stakeholders
  • Proactively identify and address regulatory and reputational risks

Requirements:

  • Expertise in UK, EU and US regulations relevant to asset management
  • Expertise in the investment fund industry, including proven experience with UCITS and Alternative products
  • Strong knowledge of investment compliance, including investment borrowing limits, portfolio compliance monitoring, and fund restriction management
  • Demonstrable experience with conflicts clearance processes and managing conflicts of interest in an investment management environment
  • Proven experience with wall-crossing procedures, managing restricted lists, and handling material non-public information in accordance with market abuse regulations
  • Expertise in UK/EU regulatory environments, and FCA Handbook rules
  • Minimum of 5 years of experience in a role requiring knowledge of UK, EU and SEC regulation and legislation applicable to Asset Management
  • Excellent attention to detail and organizational abilities
  • Strong work ethic, positive, pro-active and adaptable attitude
  • Strong interpersonal and communication skills
  • Ability to work under pressure and meet deadlines
  • Strong team and growth mindset, with proven ability to collaborate effectively with relevant stakeholders

Nice to have:

  • Experience of ESG Requirements and Standards
  • Commitment to professional development and continuous learning
What we offer:
  • Bonuses
  • Flexible benefits
  • Competitive compensation
  • Leaders who support your development through coaching and managing opportunities
  • Opportunities to work with the best in the field
  • Ability to make a difference and lasting impact
  • Work in a dynamic, collaborative, progressive, and high-performing team
  • A world-class training program in financial services
  • Flexible working options fully supported

Additional Information:

Job Posted:
April 23, 2026

Employment Type:
Fulltime
Work Type:
On-site work
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