Compliance Officer, Testing & Monitoring

Compliance Officer, Testing & Monitoring

Qube Research and Technologies

London, United Kingdom

Permanent

2026-03-18T14:29:19.107Z

23993776

Full time

Competitive

Qube Research & Technologies (QRT) is a global quantitative and systematic investment manager, operating in all liquid asset classes across the world. We are a technology and data driven group implementing a scientific approach to investing. Combining data, research, technology, and trading expertise has shaped QRT's collaborative mindset which enables us to solve the most complex challenges. QRT's culture of innovation continuously drives our ambition to deliver high quality returns for our investors. Join our Global Compliance team in London, leading investment compliance monitoring and testing activities and supporting the oversight of core compliance frameworks across a global business. This role will play a key part in building our compliance testing function, acting as a central point of contact globally.

Your future role at QRT:

• Lead the Compliance Monitoring Programme (CMP) and support the development of a global testing function


• Act as a key point of contact for compliance testing activities across jurisdictions


• Deliver thematic reviews and targeted testing, ensuring timely remediation of identified gaps


• Partner with Investment teams to understand new processes and asset classes, and enhance the CMP accordingly


• Perform detailed investment compliance testing, including sampling, control validation, and documentation of results


• Assess control effectiveness and identify areas for enhancement


• Produce clear reporting for senior management and governance forums, including Board-level updates


• Lead compliance risk assessments and support the identification and ongoing monitoring of key compliance risks


• Monitor regulatory developments and conduct gap analyses to ensure ongoing compliance


• Support regulatory reviews, audits, and internal control assessments

Your present skillset:

• Bachelor's degree in a relevant discipline (e.g. Law, Finance, Economics or similar); professional compliance qualifications (e.g. ICA, CISI or equivalent) are advantageous


• 8+ years' experience in compliance monitoring and testing within a hedge fund, asset manager, or investment bank


• Strong knowledge of investment compliance requirements and global regulatory frameworks (e.g. MiFID, AIFM)


• Proven experience executing and enhancing compliance monitoring programmes and control frameworks


• Experience contributing to compliance risk assessments and governance reporting


• Strong analytical skills, with the ability to interpret complex regulations and translate them into practical testing approaches


• Experience engaging with senior stakeholders, including presenting to governance forums


• Highly organised, with strong attention to detail and the ability to manage multiple reviews simultaneously

QRT is an equal opportunity employer. We welcome diversity as essential to our success. QRT empowers employees to work openly and respectfully to achieve collective success. In addition to professional achievement, we are offering initiatives and programs to enable employees achieve a healthy work-life balance.

#s1-Gen

testing activities across jurisdictions Deliver thematic reviews and targeted testing, ensuring timely remediation of identified gaps Partner with Investment teams to understand new processes and asset classes, and enhance the CMP accordingly Perform detailed investment compliance testing, including sampling, control validation, and documentation of results Assess control effectiveness and identify areas for enhancement Produce clear reporting for senior management and governance forums, including Board-level updates Lead compliance risk assessments and support the identification and ongoing monitoring of key compliance risks Monitor regulatory developments and conduct gap analyses to ensure ongoing compliance Support regulatory reviews, audits, and internal control assessments Your present skillset: Bachelor's degree in a relevant discipline (e.g. Law, Finance, Economics or similar); professional compliance qualifications (e.g. ICA, CISI or equivalent) are advantageous 8+ years'
experience in compliance monitoring and testing within a hedge fund, asset manager, or investment bank Strong knowledge of investment compliance requirements and global regulatory frameworks (e.g. MiFID, AIFM) Proven experience executing and enhancing compliance monitoring programmes and control frameworks Experience contributing to compliance risk assessments and governance reporting Strong analytical skills, with the ability to interpret complex regulations and translate them into practical testing approaches Experience engaging with senior stakeholders, including presenting to governance forums Highly organised, with strong attention to detail and the ability to manage multiple reviews simultaneously QRT is an equal opportunity employer. We welcome diversity as essential to our success. QRT empowers employees to work openly and respectfully to achieve collective success. In addition to professional achievement, we are offering initiatives and programs to enable employees achieve a
healthy work-life balance.