The Compliance Officer will report directly to the Head of Compliance, and their role will consist of the following responsibilities:

  • Monitoring policies and procedures
  • Reviewing and recording conflicts of interest
  • Reviewing and recording financial promotions
  • Reviewing and recording breaches and incidents
  • Reviewing and recording personal account dealing requests
  • Assisting and implementing regular regulatory horizon scanning
  • Assisting with compliance queries
  • Compliance monitoring programme (CMP)
  • Training and awareness
  • Assist with reporting and management information (MI)


We’re looking for someone who’s highly motivated with interpersonal and analytical skills. You should be comfortable working with a degree of autonomy as you’ll be part of a small team. It’s important you’re able to work closely with all disciplines across the business, and be a strong communicator.

If this sounds like you, take a look at the full job description below.

To apply, please send us a CV, with a short cover note (max. 200 words) explaining why you think you’re perfect for this role to jobs@tribeimpactcapital.com