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