Compliance Manager - Private Markets

JR United Kingdom; Slough; On-site; GBP 50,000 - 70,000; Full time

Job summary

A UK-based Alternative Investment Manager is seeking a Compliance Manager to join their compliance team in Slough. The candidate will oversee compliance monitoring, prepare regulatory filings, and review policies. Strong knowledge of AIFMD and MiFID II is essential, along with experience in compliance testing. This role offers opportunities for progression within a professional and supportive environment.

Benefits

Opportunities for professional development

Collaborative work environment

Qualifications

• Strong knowledge of AIFMD, MiFID II, FCA Handbook; familiarity with UCITS/COLL is a plus.
• Experience with compliance testing and monitoring.
• Understanding of ESG regulations like TCFD, SFDR, SDR.

Responsibilities

• Complete compliance monitoring programmes and prepare reports.
• Review compliance policies and procedures.
• Prepare regulatory filings and applications.

Skills

Knowledge of AIFMD, MiFID II

Understanding of US Investment Company Act 1940

Compliance testing and monitoring

Knowledge of financial promotions rules

Job description

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Compliance Manager - Private Markets, Slough

Client:

Coopman Search and Selection | B Corp

Location:

Slough, United Kingdom

Job Category:

Other

-

EU work permit required:

Yes

Job Views:

2

Posted:

22.08.2025

Expiry Date:

06.10.2025

Job Description:

Coopman Search and Selection is partnering with a UK-based Alternative Investment Manager to hire a Compliance Manager for their small compliance team. The role reports directly to the Head of Compliance and offers opportunities for progression and increased responsibilities.

Key Responsibilities:

• Complete Compliance Monitoring Programmes, including data collection, testing, recommending enhancements, and preparing reports;
• Review of Compliance Policies and Procedures;
• Implement regulatory changes and conduct horizon scanning;
• Conduct third-party due diligence and assist with onsite visits;
• Prepare regulatory filings and applications (e.g., FCA, US SEC);
• Create training materials and conduct compliance training;
• Review and approve financial promotions;
• Conduct thematic reviews and gap analyses;
• Provide compliance advice and handle queries.

Experience Required:

• Strong knowledge of AIFMD, MiFID II, FCA Handbook; familiarity with UCITS/COLL is a plus;
• Understanding of US Investment Company Act 1940 and SEC regulations; experience with SEC-registered advisers preferred;
• Experience with compliance testing and monitoring;
• Knowledge of best execution and post-trade surveillance (AIM Market exposure is a plus);
• Experience reviewing Compliance Policies and Procedures;
• Understanding of ESG regulations like TCFD, SFDR, SDR, and ESG Sourcebook;
• Knowledge of financial promotions rules.

For confidential discussions or more information, please contact [emailprotected].

As a Certified B Corporation, we operate for good, valuing stakeholder interests and sustainable growth. Recognized as a Great Place to Work, we foster professional development and collaboration.