Compliance Manager - Private Markets

ZipRecruiter; England; On-site; GBP 45,000 - 65,000; Full time

Job summary

A UK-based Alternative Investment Manager is seeking a Compliance Manager to join their compliance team. This role involves implementing compliance monitoring programs, reviewing policies, and preparing regulatory filings. Candidates should have strong knowledge of AIFMD, MiFID II, and familiarity with ESG regulations. The position offers career advancement in a certification-approved ethical company environment.

Benefits

Professional growth opportunities

Collaborative workplace culture

Qualifications

• Strong knowledge of UK and US compliance regulations.
• Experience in conducting compliance monitoring tests and making recommendations.
• Ability to prepare regulatory filings and conduct due diligence.

Responsibilities

• Complete Compliance Monitoring Programmes.
• Review Compliance Policies and Procedures.
• Prepare regulatory filings for FCA and US SEC.

Skills

Knowledge of AIFMD

Understanding of MiFID II

Knowledge of FCA Handbook

Experience with US Investment Company Act 1940

Compliance monitoring experience

Knowledge of ESG regulations

Job description

Job Description

Coopman Search and Selection are delighted to partner with a UK HQ'd Alternative Investment Manager who are looking to hire a Compliance Manager to be part of their small compliance team. The role will report direct into the Head of Compliance and offers plenty of scope for progression & taking on more responsibility.

Key Responsibilities:

• Predominantly responsible for completing the Compliance Monitoring Programmes which includes collating information and documentation, conducting the tests, suggesting recommendations or enhancements to systems and controls and preparing the requisite reports;
• Review of Compliance Policies and Procedures;
• Assistance in implementing regulatory change and conduct regulatory change horizon scanning;
• Preparing questionnaires for and conducting third party service provider due diligence including assisting with onsite visits;
• Preparing regulatory filings and applications e.g. FCA, US SEC and other authorities;
• Produce training slides and conduct compliance training;
• Review and approve financial promotions;
• Conduct thematic reviews and gap analyses; and
• Provide compliance advice and respond to queries.

Experience Required:

• Strong Knowledge and understanding of AIFMD, MiFID II and the FCA Handbook but also UCITS/COLL is desirable
• Knowledge of US Investment Company Act 1940 and SEC regulation for registered investment advisers – experience working at SEC registered investment advisers is desirable;
• Strong experience conducting tests and making recommendations through compliance monitoring programmes;
• Knowledge and experience of best execution and post-trade surveillance monitoring (AIM Market exposure desirable);
• Strong experience in reviewing Compliance Policies and Procedures;
• Knowledge and understanding of ESG regulation including TCFD, SFDR, SDR and the ESG Sourcebook is desirable;
• Demonstrable knowledge and understanding of the financial promotions rules;

For a confidential discussion or for further information, please get in touch with [e-mail]

As a Certified B Corporation, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work, we ensure our workplace is one that fosters professional growth and collaboration.