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Job Overview

Compliance Manager - Alternative Asset Manager

Location: City of London, London Salary: + Benefits
Type: Permanent Contact: Christopher Wood
Posted: about 1 month ago

I am currently working with a top tier alternative investment manager who are looking to hire an experienced Compliance Manager to join the compliance team on a full-time basis. The role is expected to be split approximately 70% Compliance and 30% Risk.

As a key member of the Compliance team the job holder will be required to undertake a varied role covering all Compliance activities and potentially take ownership of risk management oversight and reporting

Key responsibilities;

Compliance approx. 70%

Be responsible for reviewing, recording and approving day to day compliance requests such as:

  • PA Dealing
  • Gifts and Benefits
  • Support in the execution of the Compliance Monitoring Programme
  • Perform Financial Promotions compliance sign off
  • Complete regulatory filings and applications through Gabriel and FCA Connect were applicable
  • Ensure potential conflicts of interest are reviewed and appropriately escalated and recorded
  • Assist colleagues in the development of policies and the establishment of review procedures and policies where needed
  • Develop relationships with all relevant internal and external parties, to ensure a culture of continuous improvement
  • Assist in the preparation of various board reports for presentation to senior management and external boards
  • Assist the MLRO by undertaking identification and sanction screening checks were required
  • Assist the business by providing regulatory guidance where required
  • Dal with day to day compliance queries raised by the business
  • Stay informed of regulatory developments and how they would impact on the business
  • Present compliance training to new starters and assist in the annual compliance training of all staff
  • Carry out other duties as and when required

Risk approx. 30%

  • Take responsibility for the quarterly Risk Reporting function
  • Liaising with fund managers on Risks related to their funds
  • Reviewing/Assisting with liquidity management reporting
  • Collate and produce quarterly Risk Committee papers
  • Chair the quarterly Risk Committee
  • Review the Business Risks and ensure appropriate controls are in place
  • Ensure breaches are recorded with appropriate investigation, escalation and resolution
  • Help develop a robust due diligence process for oversight of outsourced functions

Key skills;

  • The successful candidate will ideally have gained 3-5 years' experience within the Compliance and Risk function of an AIFM
  • Experience of AIFMD regulations
  • Experience of risk management
  • An understanding of MiFID II and UCITS, SMCR and private equity would be advantages
  • Excellent initiative, management, and administration skills: proactively taking ownership of matters
  • Good communication skills: externally and internally, including managing expectations proactively

If you are interested in this role, please apply below or contact me for more information.

Eames Consulting is acting as an Employment Agency in relation to this vacancy.