UK Compliance Lead – MiFID, FCA & AIFMD

Hortifruti Natural da Terra; Greater London; On-site; GBP 70,000 - 110,000; Full time

Benefits offered by this job

International working environment

Mentorship opportunities

Competitive compensation package

Job summary

Partners Group seeks a UK Compliance professional to ensure two FCA-licensed firms meet UK regulatory obligations. You will work with the Head of Compliance UK, provide regulatory advice, perform hands-on tasks, and participate in policy and regulatory implementation projects.

You will oversee MiFID and AIFMD-related activities, maintain CASS processes, and coordinate with a small global team to manage regulatory change and monitoring across public markets and investments.

Qualifications

• Strong experience (5-8 years) in a compliance role within asset management, private markets, investment management, or a similar regulated financial services environment.
• Strong knowledge of the FCA rules and an understanding of MiFID and/or AIFMD is necessary
• Experience in collaterised loan obligation products is an advantage.
• Familiarity with compliance monitoring, regulatory change management and incident escalation processes.
• Understanding of governance, conflicts of interest, personal account dealing, market abuse and insider information controls.
• Ability to interpret regulation and translate technical requirements into clear, actionable guidance for business teams.

Responsibilities

• Identifying, understanding and interpreting UK financial services legislation and regulation (with a particular focus on public markets regulatory topics).
• Act as a subject matter expert on MiFID entity and provide support for an AIFM entity, including interpretation of requirements and practical application to business processes.
• Maintain oversight Client Money and Assets (CASS) processes.
• Provide day-to-day compliance advice to business teams on regulatory matters affecting investment, distribution activities and financial promotions.
• Advise stakeholders on regulatory change and help coordinate implementation of new or amended regulatory requirements.
• Draft management information reports and assist with the firms' corporate governance.
• Provide guidance on public markets investment activities, including best execution, allocation and market abuse monitoring.
• Support regulatory reporting, filings, and interactions with relevant regulators and external stakeholders where required.
• Complete compliance monitoring reviews and thematic assessments, ensuring issues are identified, escalated and remediated appropriately.
• Develop, maintain and review compliance policies, procedures, and controls.
• Review and update compliance risk assessments.
• Provide guidance and training to employees on compliance policies, regulatory obligations, and conduct expectations.
• Maintain appropriate records and documentation to evidence compliance oversight and decision-making.

Skills

Regulatory compliance experience

MiFID knowledge

FCA rules knowledge

AIFMD knowledge

Governance & controls understanding

Job description

Partners Group seeks a UK Compliance professional to ensure two FCA-licensed firms meet UK regulatory obligations. You will work with the Head of Compliance UK, provide regulatory advice, perform hands-on tasks, and participate in policy and regulatory implementation projects.

You will oversee MiFID and AIFMD-related activities, maintain CASS processes, and coordinate with a small global team to manage regulatory change and monitoring across public markets and investments.