A new role at a market leading firm
The role will predominantly be focused 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 for four days per week
RESPONSIBILTIES
Reporting to the Head of Compliance the Compliance Manager
* 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
* 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
COMPETENCIES
* Strong Knowledge and understanding of AIFMD, MiFID II and the FCA Handbook but also UCITS/COLL is desirable
* Knowledge of US Investment Company Act 1940 and SEC regulation for registered investment advisers – experience working at SEC registered investment advisers is desirable
* Strong experience conducting tests and making recommendations through compliance monitoring programmes
* Knowledge and experience of best execution and post-trade surveillance monitoring
* Strong experience in reviewing Compliance Policies and Procedures
* Knowledge and understanding of ESG regulation
* Demonstrable knowledge and understanding of the financial promotions rules
* Able to work independently and within a team with strong interpersonal skills to work with various stakeholders across the business
* Willing to do simple administrative and also more complex advisory work
* Interest in using technology to find solutions to maintain compliance; and
* Organized, analytical with strong attention to detail
QUALIFICATIONS
4-7 years’ experience working with buy side Alternative Investment Fund Manager or similar firm