Senior Compliance Officer Investment Compliance

The Value of Active Minds

About Jupiter

Jupiter is one the UK's leading investment management companies with just over 500 employees and £73.7 billion worth of assets under management (as at 30th June 2026). Jupiter provides investment services to individual and institutional investors through mutual funds (UK unit trusts, Luxembourg SICAVs and Dublin OEICs), separately managed accounts and sub-advised funds. Jupiter has experienced a period of international growth with offices open in EMEA and APAC. The majority of our employees are based in our London office located just minutes from Victoria station which provides stair-free access from both the Underground's Victoria line and National Rail platforms, as well as limited road crossings to the Jupiter office. Our London office was designed to encourage employees to live active, healthy lives with floor-to-ceiling windows that allow for greater natural light and the benefit of a private balcony, table tennis room, cycle storage and on-site shower and locker facilities. The short distance to Green Park and St James' Park also provides employees with a natural space to relax during their lunch break and a healthy alternative to office-based meetings. We offer our UK employees a 3:2 hybrid working arrangement where Tuesdays, Thursdays and a third day of your choice are worked from the office. The other two days may be worked from home. This facilitates collaboration and allows employees to maximise productivity whilst maintaining a healthy work/life balance.

Background

The role is within the Investment Compliance team reporting to The Head of Investment Compliance. You will be joining a team of seven who are responsible for the provision of advice and oversight of the Investment Management F unction . The team acts as part of the second line of defence for the business, ensuring that the Investment Management Function conducts their activities in accordance with Jupiter's compliance framework and that Funds are managed as prescribed in their Prospectus or IMA documents and in adherence with the relevant Directives.

Key Responsibilities

• 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.

Desired Skills / Experience

• 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 abil