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Job Overview

Compliance Manager - Private Equity

Location: City of London, London Salary: £60000 - £70000 per annum + + 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

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