Compliance Monitoring - Alternative Asset Management

Job Description

A new role at a market leading firm

The role will predominantly focus on the firm’s compliance monitoring programmes but will also include, inter alia:

• Policy and procedure review
• Third party due diligence work
• Regulatory filings and financial promotions review

They'd like someone to be in the office four days per week.

RESPONSIBILITIES

Reporting to the Head of Compliance, the Compliance Manager will:

• Be primarily responsible for completing the Compliance Monitoring Programmes, including collating information and documentation, conducting tests, suggesting recommendations or enhancements to systems and controls, and preparing reports
• Review Compliance Policies and Procedures
• Assist in implementing regulatory changes and conduct horizon scanning for regulatory developments
• Prepare questionnaires and conduct third-party service provider due diligence, including assisting with onsite visits
• Prepare regulatory filings and applications
• Create training materials and conduct compliance training sessions
• Review and approve financial promotions
• Conduct thematic reviews and gap analyses
• Provide compliance advice and respond to queries

COMPETENCIES

• Strong knowledge and understanding of AIFMD, MiFID II, and the FCA Handbook; knowledge of UCITS/COLL is desirable
• Knowledge of US Investment Company Act 1940 and SEC regulations for registered investment advisers; experience working at SEC-registered investment advisers is desirable
• Extensive experience conducting tests and making recommendations through compliance monitoring programmes
• Knowledge and experience of best execution and post-trade surveillance monitoring
• Experience in reviewing Compliance Policies and Procedures
• Understanding of ESG regulation
• Knowledge of financial promotions rules
• Able to work independently and within a team, with strong interpersonal skills to collaborate across the business
• Willing to undertake both administrative and complex advisory tasks
• Interest in leveraging technology to find compliance solutions
• Organized, analytical, with strong attention to detail

QUALIFICATIONS

4-7 years’ experience working with buy-side Alternative Investment Fund Managers or similar firms