Senior Compliance Officer - Investment Compliance
About the job
- Strong experience within Asset Management Compliance, Investment Compliance, Investment Risk or a closely related control function.
- Strong knowledge of UCITS, NURS and AIFMD requirements relevant to portfolio management, including eligibility, diversification, concentration, borrowing and derivatives requirements.
- Good working knowledge of a broad range of asset classes and investment instruments, with the ability to assess regulatory and investment restriction implications.
- Experience interpreting fund prospectuses, investment management agreements, mandates and other investment restrictions, and translating requirements into practical advice for Investment Management teams.
- Experience providing regulatory and compliance advice to Investment Managers, Traders and other Front Office stakeholders, including the ability to apply regulatory requirements to complex or novel investment scenarios.
- Experience of pre- and post-trade investment compliance monitoring, including investigation and resolution of investment restriction alerts and breaches.
- An understanding of investment restriction coding and rule configuration, with the ability to review and challenge whether restrictions are appropriately captured within monitoring systems.
- Experience of working with BlackRock Aladdin.
- Experience of investment eligibility assessments, including consideration of new instruments, derivatives, collective investment schemes, structured products and corporate actions.
- Experience liaising with Depositaries, ManCos, Fund Accountants, Auditors and other external oversight providers on investment compliance or regulatory matters.
- Good understanding of market abuse regulation and investment management conduct risks, including market soundings, restricted lists, surveillance and associated governance arrangements.
- Knowledge of trading compliance and oversight, including best execution, order allocation and other relevant dealing controls.
- Experience identifying and assessing conflicts of interest arising from investment management activities, products, mandates, delegations or related-party arrangements.
- Experience interpreting regulatory developments and assessing their practical impact on investment management activities, policies, procedures and controls.
- Experience conducting or contributing to Compliance monitoring or thematic reviews, including scoping, testing, documenting findings and agreeing proportionate remedial actions.
- Strong analytical and critical-thinking skills, with the ability to reach well-reasoned conclusions where regulatory requirements or investment scenarios are complex or judgement-based.
- Excellent written and verbal communication skills, with the ability to explain complex regulatory matters clearly and pragmatically to both technical and non-technical audiences.
- Strong stakeholder management skills, with the confidence to challenge, influence and advise Fund Managers, Traders and senior management constructively.
- Ability to balance regulatory requirements and risk considerations with an understanding of the commercial and operational environment in which an investment management business operates.
- Ability to manage multiple priorities and deadlines while maintaining a high level of accuracy and attention to detail.
- Ability to work effectively both independently and as part of a wider Compliance and Risk function.
- This role is subject to the Conduct Rules set by the FCA.
- Provide day-to-day Investment Compliance advice and challenge to Investment Management, Trading and other relevant business areas across Jupiter’s regulated funds, segregated mandates and delegated investment arrangements.
- Interpret and advise on investment restrictions and regulatory requirements, including UCITS, NURS and AIFMD requirements, fund prospectus provisions, investment management agreements and other applicable investment guidelines.
- Assess the eligibility and permissibility of investments and investment strategies, including new or complex instruments, derivatives, collective investment schemes and corporate actions, providing clear and pragmatic advice to Investment Managers and other stakeholders.
- Undertake pre- and post-trade compliance oversight through BlackRock Aladdin, investigating alerts, providing advice on proposed transactions and ensuring potential or actual breaches are identified, escalated and resolved appropriately.
- Support the maintenance of effective investment restriction monitoring within Aladdin, including reviewing the appropriate monitoring approach for new or amended restrictions and working with Portfolio Guideline Analysts on coding, testing and implementation where required.
- Manage and oversee investment restriction breaches and exceptions, coordinating with Investment Managers, Investment Risk, Operations, Legal and other relevant stakeholders and maintaining appropriate records and governance through to closure.
- Act as a key point of contact for Depositaries and ManCos on investment compliance matters, including responding to monitoring queries, discussing potential breaches and providing supporting analysis and regulatory rationale where required.
- Provide Compliance input into fund accounting, NAV, valuation and operational matters where these have an investment regulatory or investor protection dimension, working closely with Fund Accounting, Product, Operations, Depositaries and other control functions.
- Support Jupiter’s market abuse framework, including surveillance and oversight, market soundings, restricted and stop-list arrangements, regulatory developments and the preparation of management information and governance reporting.
- Provide second-line oversight and challenge in relation to trading activities, including best execution, order allocation, trading controls, dealing practices and other conduct or regulatory matters affecting the Trading function.
- Identify, assess and advise on conflicts of interest arising from investment management activities, new products, related-party arrangements, internal delegations and other business developments, ensuring appropriate controls and governance are in place.
- Monitor relevant regulatory developments, interpret their impact on Jupiter’s investment activities and support the implementation of proportionate changes to policies, procedures, monitoring and controls.
- Lead or contribute to thematic and desk-based Compliance reviews of higher-risk Investment Management and Trading activities, including scoping, testing, stakeholder interviews, documenting findings and agreeing appropriate remedial actions.
- Provide Compliance advice and challenge in relation to new funds, mandates, product changes and other business initiatives, helping to identify investment regulatory requirements and control considerations at an early stage.
- Build effective working relationships across Investment Management, Trading, Investment Risk, Operations, Legal, Product and other control functions, providing constructive challenge while supporting commercially workable and regulatorily sound outcomes.
- Contribute to Compliance governance, management information and committee reporting, clearly communicating material investment compliance risks, trends, breaches, regulatory developments and areas requiring senior management attention.
- Support the wider Compliance function on investment-related matters and contribute to the continued development of Jupiter’s Investment Compliance framework, policies, procedures and control environment.
- Detailed coding expertise is advantageous but is not the primary focus of the role.
- Experience with UK authorised funds, Irish funds and Luxembourg fund structures would be advantageous.
- Professional qualification such as IMC, CFA or an appropriate Compliance qualification is desirable.
About the company
Jupiter Asset Management specializes in active asset management to help clients meet long-term investment goals. Its approach centers on high-conviction, research-driven investing guided by a diverse team, rapid adaptability, and collaboration between people and technology. The product is built around active portfolios managed to identify enduring investment opportunities, with a focus on independent thinking and continuous challenge to improve client outcomes. Jupiter differentiates itself through an entrepreneurial culture, independence in decision-making, and a relentless emphasis on delivering value for clients rather than broad product breadth. The company aims to be a trusted steward of clients’ money by delivering superior investment outcomes and building a better future for its clients through active minds and disciplined investment processes.
Company Size
501-1,000
Company Stage
N/A
Total Funding
$2.4B
Headquarters
London, United Kingdom
Founded
2018
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Simplify's Take
What believers are saying
- H1 2026 gross inflows reached nearly £11 billion, with AUM up 36%.
- CCLA integration ran ahead of plan, and management expects synergies above target.
- Jupiter hired George Ensor and Mayan Uthayakumar, reinforcing UK equities for 2027.
What critics are saying
- Jupiter closed Emerging Market Debt funds on 20 January 2026 after subscale AUM.
- FCA pressure on legacy commissions triggered July 2026 trail-commission litigation and forced conversions.
- Matt Cable and Tim Service exit in early 2027, threatening Jupiter’s UK small-cap franchise.
What makes Jupiter Asset Management unique
- Jupiter’s CCLA acquisition lifted June 2026 AUM to £73.7 billion.
- The platform spans equities, credit, emerging markets, and specialist commodity stock-picking.
- Jupiter still wins cornerstone checks, including Gateway Mining and Apollo Silver financings.
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Benefits
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Company News
Jupiter Asset Management has acquired an 11.77% stake in Gateway Mining Ltd, becoming a substantial shareholder on 16 September 2026. The London-based firm holds a relevant interest in 339,817,446 ordinary shares. Jupiter acquired the shares in its capacity as Investment Manager of Collective Investment Schemes. The purchases occurred over multiple trading days between 4 June and 10 September 2026. The largest single acquisition comprised 250,000,000 ordinary shares purchased on 10 September 2026 for $20,000,000. Earlier transactions involved smaller parcels ranging from approximately 7,458 to 5,422,200 shares each. The disclosure was lodged with the ASX via Form 603 and signed by K Wild, Compliance Officer, on 17 September 2026.
Gateway Mining has secured $45 million in firm commitments to fund an aggressive exploration campaign at its Yandal gold project in Western Australia. Jupiter Asset Management contributed $20 million as cornerstone investor in the placement, led by JP Equity Partners. The company will issue 562.5 million new shares at eight cents each, representing a 16.7% discount to its last closing price. Combined with existing cash holdings of $15.1 million at end-June, Gateway is now well-funded to execute its plans. The raising follows strong drill results at the Cowza prospect, which returned 41 metres grading 2 grams per tonne gold from 104 metres, including 9 metres at 7.5 grams per tonne. Gateway plans to deploy the funds across a 120,000-metre drilling campaign at multiple prospects including Cowza, Celia South, and Ward.
Apollo Silver has appointed Steven Thomas as chief financial officer, following a C$27.5 million private placement completed earlier this year. Thomas, formerly CFO at Torex Gold Resources, took over on 1 September and simultaneously resigned from Apollo's board, where he had served as lead independent director. The appointment comes as Apollo advances its Calico silver project in California and Cinco de Mayo project in Mexico. Calico contains approximately 110 million ounces of silver in measured and indicated categories, and Apollo began a preliminary economic assessment in March. Thomas brings over 30 years of international corporate finance experience, including previous CFO roles at Torex Gold Resources and mining businesses associated with Goldcorp and De Beers. He succeeds Chris Cairns, who stepped down to pursue another opportunity.
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