Octopus Investments Positions 2022 in Clerkenwell, England, United Kingdom – Senior Compliance Monitoring Manager (Fund Management & Surveillance)

Website Octopus Investments

Are you looking for a Job at Octopus Investments in Clerkenwell, England, United Kingdom
in 2022. Then following info is about this job.

About the job

Company Description

Established in 2000, Octopus is a group of businesses investing in people, ideas and industries that change the world. You can learn more about us at octopusgroup.com.

At Octopus Investments, we’re experts in financial services 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 £12.4* billion on behalf of retail and institutional investors.

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

About The Role

Job Description

With the support of the Senior Compliance Monitoring Manager and Head of Compliance, core responsibilities of this role will include:

  • Perform trade and communications surveillance to monitor for possible market abuse behaviour. This includes managing exceptions thoroughly in a timely manner, and ensuring significant issues identified are fully investigated and escalated where necessary
  • Review of trades to ensure best execution is achieved for clients
  • Assist with the calibration of best execution and trade surveillance systems, proposing scope and parameters to the relevant governance forum
  • Develop scope and conduct testing for risk-based thematic reviews to assess whether Octopus is meeting its regulatory obligations, including those under AIFMD and MIFID
  • Oversee the implementation of appropriate remedial actions to agreed timescales
  • Prepare written reports for discussion with the Senior Compliance Monitoring Manager and Head of Compliance and assist in producing management information relating to compliance monitoring activities
  • Assist in the maintenance of Octopus’s regulatory risk assessment, facilitating an assessment which identifies and measures Octopus’ regulatory risks in order to deliver an appropriate monitoring plan
  • expectations and peer group practices


  • Knowledge of the key requirements of IFPR, AIFMD, MIFID, and MAR, and how these apply to a buy-side investment management, particularly how the FCA expects these requirements to be monitored by the second line of defence
  • Prior experience in undertaking reviews of dealing activity against MAR and best execution obligations, with insight into how monitoring systems are calibrated to work effectively and efficiently for buy-side firms
  • Compliance monitoring experience within an investment management firm with retail and institutional clients, in at least one of the following asset classes: private equity, quoted equity, venture capital, real estate, infrastructure
  • Able to work independently to design scope and testing for fund management and distribution activities, such as order aggregation and allocation, dealing, conflicts of interest, client disclosures, marketing, overseas licensing etc.

Additional Information

? 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

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.

We’re committed to creating a diverse and inclusive employee experience for all. We promote equal opportunities for growth and development regardless of race, gender, religion, sexual orientation, age, disability, or socio-economic background. We believe strongly that teams are at their best when every member of the team feels safe to bring their whole self to work.

Company: Octopus Investments

Vacancy Type: Full-time · Associate

Job Location: Clerkenwell, England, United Kingdom

Application Deadline: N/A

Apply Here


To apply for this job email your details to bfdirb6788@gmail.com