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For Companies 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
Contact Detail:
Austin Andrew Recruiting Team
