Job Description
A new role at a market leading firm
The role will predominantly focus on the firm’s compliance monitoring programmes but will also include, inter alia:
* Policy and procedure review
* Third party due diligence work
* Regulatory filings and financial promotions review
They'd like someone to be in the office four days per week.
RESPONSIBILITIES
Reporting to the Head of Compliance, the Compliance Manager will:
* Be primarily responsible for completing the Compliance Monitoring Programmes, including collating information and documentation, conducting tests, suggesting recommendations or enhancements to systems and controls, and preparing reports
* Review Compliance Policies and Procedures
* Assist in implementing regulatory changes and conduct horizon scanning for regulatory developments
* Prepare questionnaires and conduct third-party service provider due diligence, including assisting with onsite visits
* Prepare regulatory filings and applications
* Create training materials and conduct compliance training sessions
* Review and approve financial promotions
* Conduct thematic reviews and gap analyses
* Provide compliance advice and respond to queries
COMPETENCIES
* Strong knowledge and understanding of AIFMD, MiFID II, and the FCA Handbook; knowledge of UCITS/COLL is desirable
* Knowledge of US Investment Company Act 1940 and SEC regulations for registered investment advisers; experience working at SEC-registered investment advisers is desirable
* Extensive experience conducting tests and making recommendations through compliance monitoring programmes
* Knowledge and experience of best execution and post-trade surveillance monitoring
* Experience in reviewing Compliance Policies and Procedures
* Understanding of ESG regulation
* Knowledge of financial promotions rules
* Able to work independently and within a team, with strong interpersonal skills to collaborate across the business
* Willing to undertake both administrative and complex advisory tasks
* Interest in leveraging technology to find compliance solutions
* Organized, analytical, with strong attention to detail
QUALIFICATIONS
4-7 years’ experience working with buy-side Alternative Investment Fund Managers or similar firms
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