Compliance Manager, European Private Debt Investor, London, UK or Munich, Germany

PER; United Kingdom; On-site; GBP 50,000 - 80,000; Full time

Job summary

A leading private debt investor in the UK is seeking a Compliance Manager to enhance their compliance and regulatory framework. This role involves supporting compliance with UK and German regulations, preparing reports, training staff, and managing compliance monitoring. Ideal for candidates with a financial services background and a proactive mindset to navigate regulatory challenges.

Qualifications

• Experience in a compliance role in financial services, ideally in private credit or asset management.
• Strong understanding of FCA regulations required.
• Proven ability to manage multiple priorities effectively.

Responsibilities

• Ensure compliance with UK and German regulatory requirements.
• Assist with regulatory filings to FCA and maintaining compliance records.
• Support the development of compliance policies tailored to UK and Germany.

Skills

Attention to detail

Analytical skills

Communication skills

Interpersonal skills

Solution-oriented mindset

Education

Experience in compliance role within financial services

Understanding of FCA regulations

Familiarity with German compliance framework

Job description

About our client

Our client is a leading private debt investor operating across Europe. The firm is going through a period of growth and looking for a Compliance Manager to join their team to support across the firm's compliance and regulatory needs. What the job involves

• Assist the Legal and Compliance Director in ensuring the Firm complies with all relevant UK and German regulatory requirements
• Assist with regulatory filings to the FCA and maintaining compliance records
• Assist with preparing regulatory filings and reports specific to German requirements
• Assist with administering the compliance monitoring programme
• Assist in internal and external audits, helping to address findings and implementing corrective actions
• Manage employee level compliance (PADs, gifts and entertainment, outside business interests) and SM&CR certification process
• Support the creation, implementation and review of the compliance policies and procedures tailored to UK and Germany
• Assist with preparation of the regular compliance reports and updates for senior management, addressing UK compliance as well as cross-border obligations
• Assist with providing support to internal stakeholders
• Assist in delivering training for new joiners, designing annual compliance training and helping promote awareness of compliance requirements across the UK and other jurisdictions
• Assist with monitoring regulatory developments in the UK and Germany
• Collaborate with the Legal and Compliance Director to support compliance activities in France and Luxembourg, as needed
• Assist in monitoring regulatory updates in these jurisdictions and contribute to adapting policies and procedures accordingly

Who we are looking for

• Experience in a compliance role within the financial services industry, ideally in private credit or asset management
• Strong understanding of FCA regulations
• Familiarity with German compliance framework would be advantageous but is not a pre-requisite
• Excellent attention to detail and analytical skills
• Strong communication and interpersonal skills, with the ability to interact effectively across all levels of the organisation
• Proactive, solution-oriented mindset with the ability to manage multiple priorities

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