Compliance & Risk Manager

NLC; Greater London; On-site; GBP 60,000 - 85,000; Full time

Job summary

NLC is looking for a Compliance & Risk Manager to lead the firm’s compliance and risk functions. The successful candidate will work closely with the investment team and external advisers to build a robust compliance framework.

Applicants should have 4-6 years of experience in financial services, with a strong focus on compliance roles. Key responsibilities include managing compliance processes, KYC/AML operations, and engaging with regulators.

Strong organisational skills and a proactive approach are essential for this role.

Qualifications

• 4-6 years of experience in financial services, with 2-3 years in legal or compliance roles.
• Experience in compliance consultancy or FCA-regulated firms.
• Experience with FCA authorisation processes is advantageous.

Responsibilities

• Manage compliance processes and monitoring programmes.
• Maintain compliance policies and documentation.
• Oversee KYC/AML processes and onboarding controls.
• Ensure compliance with FCA and SEC regulations.
• Assist with ESG reporting and compliance training.

Skills

Strong organisational skills

Attention to detail

Strong communication skills

Stakeholder management

Proactive solutions-oriented approach

Job description

NLC is a leading specialist fund finance asset manager and the largest independent non-bank lender in the fund finance market. We combine flexible non-bank capital, structuring expertise, deep relationships across LPs and GPs, and technology to deliver scalable fund and GP financing solutions globally.

Our ambition is to be the partner of choice across the fund finance ecosystem: providing institutional investors exposure to high-quality, investment-grade risk-adjusted returns and providing private capital managers with certainty, speed and tailored solutions where traditional providers cannot always move. We are building NLC around a values-led culture of Excellence, Team Player, Innovation, Integrity, Honest and Open Environment, and Dependability, with people who take ownership, challenge the status quo and help scale a business designed to lead the market.

About the Role

We are looking for a Compliance & Risk Manager. The successful candidate will own the firm’s compliance and risk function and will work closely with the investment team, operations, and external compliance advisers to build and maintain a robust compliance framework as the firm continues to scale.

The ideal candidate will support the partners of the firm with any engagement with the FCA and SEC, and the capability to build and run a compliance monitoring programme from the ground up. A background from a compliance consultancy or a compliance manager role within a financial services firm would be a strong fit.

• Own and manage the firm’s day-to-day compliance processes and compliance monitoring programme
• Maintain and update compliance policies, procedures, registers, and governance documentation
• Own KYC/AML processes, onboarding controls, and ensure appropriate segregation of duties
• Assisting the Firm with implementing its compliance and AML/financial crime frameworks as part of the FCA authorisation application and US Registered Investment Advisor application
• Ongoing regulatory reporting obligations, including event driven notifications (e.g. Approved Persons (Senior Management Functions - “SMF”) application); RegData reports (e.g. prudential reports).
• Manage trading compliance controls, including oversight of the firm’s block list and pre-approval processes for securities trading
• Assist with ongoing FCA and SEC compliance obligations
• Develop and maintain the firm’s risk framework, including the ICARA and risk register
• Assist with ESG-related reporting and coordinate compliance training across the firm

What We Are Looking For

We are looking for a confident and credible compliance professional who can own the function from day one and engage with regulators on both sides of the Atlantic. The ideal candidate will have:

• Approximately 4-6 years industry experience within financial services with at least 2–3 years’ experience in a legal or compliance role
• Experience gained at a compliance consultancy, asset manager, FCA-regulated firm, or financial services business,
• Experience supporting or managing an FCA authorisation process, or familiarity with SEC Investment Advisor registration, would be highly advantageous
• Strong organisational skills and attention to detail
• The ability to manage multiple priorities in a fast-paced environment
• Strong communication and stakeholder management skills
• A proactive and solutions-oriented approach
• Interest in fund finance, private credit, or alternative investments