Compliance Manager - Private Markets in Greater London

Energy Jobline ZR; Greater London; On-site; GBP 50,000 - 70,000; Full time

Job summary

A compliance consultancy is seeking a Compliance Manager in Greater London to oversee their Compliance Monitoring Programmes. The role requires strong knowledge of FCA regulations, including AIFMD and MiFID II. Responsibilities include policy review, conducting training, and ensuring compliance with regulatory changes. Ideal candidates will have demonstrated experience in compliance frameworks and a proactive approach to compliance management.

Qualifications

• Strong knowledge of FCA Handbook and regulatory frameworks.
• Experience with regulatory filings and applications.
• Proven ability to conduct training and compliance awareness.

Responsibilities

• Complete Compliance Monitoring Programmes and prepare reports.
• Review Compliance Policies and Procedures.
• Prepare and conduct compliance training.
• Conduct third party due diligence and onsite visits.
• Assist in regulatory change implementation.

Skills

Knowledge of AIFMD

Knowledge of MiFID II

Strong experience in compliance monitoring

Knowledge of ESG regulation

Experience in reviewing Compliance Policies

Job description

Energy Jobline is the largest and fastest growing global Energy Job Board and Energy Hub. We have an audience reach of over 7 million energy professionals, 400,000+ monthly advertised global energy and engineering jobs, and work with the leading energy companies worldwide.

We focus on the Oil & Gas, Renewables, Engineering, Power, and Nuclear markets as well as emerging technologies in EV, Battery, and Fusion. We are committed to ensuring that we offer the most exciting career opportunities from around the world for our jobseekers.

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.

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