Job Chief Compliance Officer, The Rocks

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A leading global investment manager with offices in London and Sydney, regulated by the FCA, SEC, and ASIC, and actively engaged in European markets under SFDR, is seeking a highly experienced Chief Compliance Officer (CCO). Our client is committed to maintaining the highest standards of legal, regulatory, and ethical compliance across all jurisdictions.

This executive leadership role is responsible for overseeing global compliance programs, promoting a culture of integrity and regulatory excellence, and providing strategic direction to a high-performing team.

Key responsibilities include:

• Oversight of regulatory compliance (FCA, SEC, ASIC, SFDR)
• Management of compliance frameworks, monitoring, and reporting
• Leadership of compliance for capital markets activity and regulatory filings
• Liaison with regulators and participation in internal governance committees
• Review of legal agreements, marketing materials, and internal policies

Candidate profile:

• 8–10 years’ compliance experience within asset management (ideally boutique/global)
• Strong knowledge of FCA regulations; experience with SEC and ASIC desirable
• High integrity, sound judgment, and a proactive mindset
• Strong academic background in law or finance

Salary, match, Number of applicants, Skills match

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