Compliance Monitoring - Alternative Asset Management

JR United Kingdom; London; On-site; GBP 50,000 - 90,000; Full time

Job summary

An established industry player is seeking a Compliance Manager to lead compliance monitoring programs and ensure adherence to regulations. This role offers a unique opportunity to work closely with the Head of Compliance, engaging in policy reviews, regulatory filings, and third-party due diligence. The ideal candidate will possess strong knowledge of compliance frameworks such as AIFMD and MiFID II, with a keen interest in leveraging technology for compliance solutions. Join a dynamic team in a market-leading firm where your expertise will play a crucial role in shaping compliance strategies and enhancing operational efficiency.

Qualifications

• 4-7 years of experience with buy-side alternative investment firms.
• Strong knowledge of compliance regulations and frameworks.

Responsibilities

• Conduct compliance monitoring programmes and prepare reports.
• Review compliance policies and assist with regulatory changes.
• Prepare regulatory filings and conduct third-party due diligence.

Skills

Compliance Testing

Regulatory Knowledge (AIFMD, MiFID II)

Interpersonal Skills

Analytical Skills

ESG Regulation Understanding

Job description

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Compliance Monitoring - Alternative Asset Management, London

Client:

Location:

London, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

Job Views:

11

Posted:

26.04.2025

Expiry Date:

10.06.2025

Job Description:

A new role at a market-leading firm.

The role will primarily 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

The candidate is expected to be in the office four days per week.

Responsibilities

• Reporting to the Head of Compliance, the Compliance Manager will be responsible for completing compliance monitoring programmes, including collecting information and documentation, conducting tests, suggesting system and control enhancements, and preparing reports.
• Review of compliance policies and procedures.
• Assist in implementing regulatory changes and conduct horizon scanning.
• Prepare questionnaires and conduct third-party due diligence, including 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 of AIFMD, MiFID II, FCA Handbook; UCITS/COLL knowledge is desirable.
• Experience with US Investment Company Act 1940 and SEC regulations; experience at SEC-registered firms is a plus.
• Proven experience in compliance testing and recommendations.
• Knowledge of best execution and post-trade surveillance.
• Experience reviewing compliance policies and procedures.
• Understanding of ESG regulation.
• Knowledge of financial promotions rules.
• Ability to work independently and in teams; strong interpersonal skills.
• Willingness to handle administrative and advisory tasks.
• Interest in leveraging technology for compliance solutions.
• Organized, analytical, with attention to detail.

Qualifications

4-7 years of experience with buy-side alternative investment firms or similar.