We are exclusively recruiting for a niche Private Investment firm looking to hire their first Compliance Officer as the business continues to grow. This is a stand‑alone Compliance Officer role, ideal for someone who has long term aspirations to become a Head of Compliance. The role reports into the COO.
This would not be holding SMF functions at this stage as they are an AR however as the business continues to grow there are plans to become fully authorised. Previous experience working with an Appointed Representative framework is required.
Candidates should have a strong Private Markets background with a good knowledge of Marketing & Distribution alongside a good understanding of UK & Luxembourg AIFM requirements.
Strong communication & training skills are a must as this role will have an important role in the continued education & training of staff across multiple office locations globally.
The role requires minimum of 3 days in the office.
Job Requirements
* Own the AR compliance framework: policies, controls, monitoring plan, breaches/incident handling, training, MI and recordkeeping.
* Manage the relationship with the Principal (FCA-authorised firm): reporting, oversight reviews, remediation and audit readiness.
* Coordinate UK-side compliance with Luxembourg AIFM compliance teams and service providers (administrator, depositary and counsel as relevant).
* Operate a practical financial promotions / communications sign-off process (decks, teasers, DDQs, factsheets, website copy, investor updates).
* Provide day-to-day advisory support to Partners / IR / Operations.
* Assist with compliance protocols and training regarding all compliance policies and procedures.
* Prepare quarterly compliance updates for AR (breaches, incidents, conflicts register status, regulatory updates).
* Support COO on info requests from Principal/AIFM.
Unless otherwise stated, candidates must have the right to work in the UK.
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