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:
* 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 (AIM Market exposure desirable);
* Strong experience in reviewing Compliance Policies and Procedures;
* Knowledge and understanding of ESG regulation including TCFD, SFDR, SDR and the ESG Sourcebook is desirable;
* Demonstrable knowledge and understanding of the financial promotions rules;
For a confidential discussion or for further information, please get in touch with chris.wood@coopman.uk
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