Job Description
Coopman Search and Selection are delighted to partner with a UK HQ'd Alternative Investment Manager who are looking to hire a Compliance Manager to be part of their small compliance team. The role will report direct into the Head of Compliance and offers plenty of scope for progression & taking on more responsibility.
Key Responsibilities:
* Predominantly responsible for completing the Compliance Monitoring Programmes which includes collating information and documentation, conducting the tests, suggesting recommendations or enhancements to systems and controls and preparing the requisite reports;
* Review of Compliance Policies and Procedures;
* Assistance in implementing regulatory change and conduct regulatory change horizon scanning;
* Preparing questionnaires for and conducting third party service provider due diligence including assisting with onsite visits;
* Preparing regulatory filings and applications e.g. FCA, US SEC and other authorities;
* Produce training slides and conduct compliance training;
* Review and approve financial promotions;
* Conduct thematic reviews and gap analyses; and
* Provide compliance advice and respond to queries.
Experience Required:
1. Strong Knowledge and understanding of AIFMD, MiFID II and the FCA Handbook but also UCITS/COLL is desirable
2. Knowledge of US ...