Hands-on Compliance Manager: Investments & Private Markets

Marks Sattin; Greater London; On-site; GBP 70,000 - 110,000; Full time

Job summary

Marks Sattin in London is seeking a Compliance Manager for a Specialist Alternative Asset Manager. The role is broad and hands-on, reporting to the Head of Compliance and supporting the UK regulated business across a range of compliance matters.

You will own the Monitoring Plan, advise the Investment and Distribution Teams, work on Financial Promotions, oversee best execution and product governance, and report issues to senior management and the board. 5+ years of FS compliance required.

Qualifications

• 5+ years of compliance experience.
• FS compliance experience within Investment Manager or Asset Manager.
• Alt/private markets experience would be a plus.
• Generalist compliance with monitoring, financial promotions and best execution.
• A hands-on doer who rolls up their sleeves.

Responsibilities

• Owning the Compliance Monitoring Plan.
• Advising the Investment and Distribution Teams.
• Working on Financial Promotions.
• Overseeing best execution and product governance.
• Reporting any issues into senior management and board.

Skills

Compliance monitoring

Financial promotions

Best execution

Product governance

Job description

Marks Sattin in London is seeking a Compliance Manager for a Specialist Alternative Asset Manager. The role is broad and hands-on, reporting to the Head of Compliance and supporting the UK regulated business across a range of compliance matters.

You will own the Monitoring Plan, advise the Investment and Distribution Teams, work on Financial Promotions, oversee best execution and product governance, and report issues to senior management and the board. 5+ years of FS compliance required.