Compliance Manager - Private Markets

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

Job summary

A leading alternative investment manager in Slough is seeking a Compliance Manager to enhance their compliance function. The role involves managing compliance monitoring, regulatory reporting, and ensuring adherence to various promotional regulations. This position offers significant growth potential within a supportive compliance team, ideal for a candidate with strong regulatory knowledge and experience.

Qualifications

• Strong knowledge of AIFMD, MiFID II, and FCA Handbook.
• Experience with SEC regulations and investment advisers.
• Knowledge of ESG regulations is desirable.

Responsibilities

• Responsible for Compliance Monitoring Programmes and documentation.
• Conduct regulatory filings and compliance training.
• Review compliance policies and assist in regulatory changes.

Skills

Compliance Monitoring

Regulatory Change

Risk Assessment

Financial Promotions

Client Due Diligence

Compliance Policies Review

Job description

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Compliance Manager - Private Markets, slough

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Client:

Coopman Search and Selection | B Corp

Location:

slough, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Views:

5

Posted:

26.06.2025

Expiry Date:

10.08.2025

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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 [emailprotected]

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.