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- Tasks: Own the compliance framework and manage relationships with regulatory bodies.
- Company: Niche Private Investment firm with growth opportunities.
- Benefits: Competitive salary, career progression, and a dynamic work environment.
- Why this job: Be the first Compliance Officer and shape the future of compliance in a growing firm.
- Qualifications: Experience with Appointed Representative frameworks and strong communication skills.
- Other info: Minimum 3 days in the office; excellent training and development prospects.
The predicted salary is between 60000 - 80000 £ per year.
We are exclusively recruiting for a niche Private Investment firm looking to hire their first Compliance Officer as the business continues to grow. This is a stand-alone Compliance Officer role, ideal for someone who has long term aspirations to become a Head of Compliance. The role reports into the COO. This would not be holding SMF functions at this stage as they are an AR; however, as the business continues to grow, there are plans to become fully authorised.
Previous experience working with an Appointed Representative framework is required. Candidates should have a strong Private Markets background with a good knowledge of Marketing & Distribution alongside a good understanding of UK & Luxembourg AIFM requirements. Strong communication & training skills are a must as this role will have an important role in the continued education & training of staff across multiple office locations globally. The role requires a minimum of 3 days in the office.
Job Requirements:
- Own the AR compliance framework: policies, controls, monitoring plan, breaches/incident handling, training, MI and recordkeeping.
- Manage the relationship with the Principal (FCA-authorised firm): reporting, oversight reviews, remediation and audit readiness.
- Coordinate UK-side compliance with Luxembourg AIFM compliance teams and service providers (administrator, depositary and counsel as relevant).
- Operate a practical financial promotions / communications sign-off process (decks, teasers, DDQs, factsheets, website copy, investor updates).
- Provide day-to-day advisory support to Partners / IR / Operations.
- Assist with compliance protocols and training regarding all compliance policies and procedures.
- Prepare quarterly compliance updates for AR (breaches, incidents, conflicts register status, regulatory updates).
- Support COO on info requests from Principal/AIFM.
Unless otherwise stated, candidates must have the right to work in the UK.
Compliance Officer – AR & Lux Funds employer: CLARC Recruitment
Contact Detail:
CLARC Recruitment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer – AR & Lux Funds
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and private markets sectors. Attend industry events or webinars to meet potential employers and get your name out there. Remember, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of UK & Luxembourg AIFM requirements. Be ready to discuss how your experience aligns with the role's needs. Show them you’re not just a fit, but the perfect fit!
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, send a quick thank-you email. It shows your enthusiasm for the role and keeps you fresh in their minds. Plus, it’s a great chance to reiterate why you’re the best candidate.
✨Tip Number 4
Apply through our website! We’ve got loads of resources to help you land that Compliance Officer role. Plus, applying directly shows your commitment and makes it easier for us to connect with you.
We think you need these skills to ace Compliance Officer – AR & Lux Funds
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to highlight your experience with Appointed Representative frameworks and Private Markets. We want to see how your background aligns with the role, so don’t be shy about showcasing relevant skills!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re the perfect fit for our Compliance Officer role. Mention your strong communication skills and any training experience you have, as these are key for us.
Showcase Your Knowledge: In your application, demonstrate your understanding of UK & Luxembourg AIFM requirements. We’re looking for someone who can hit the ground running, so let us know how you’ve navigated similar regulations in the past.
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at CLARC Recruitment
✨Know Your Compliance Framework
Make sure you’re well-versed in the Appointed Representative compliance framework. Brush up on policies, controls, and monitoring plans, as these will be crucial topics during your interview. Being able to discuss how you would manage breaches and incidents will show that you’re ready for the role.
✨Showcase Your Private Markets Knowledge
Since a strong background in Private Markets is essential, prepare to discuss your experience in this area. Be ready to talk about UK and Luxembourg AIFM requirements, and how they relate to marketing and distribution. This will demonstrate your expertise and readiness to take on the responsibilities of the role.
✨Highlight Your Communication Skills
As this role involves training staff across multiple locations, it’s vital to showcase your communication skills. Prepare examples of how you’ve successfully trained or educated teams in the past. This will help illustrate your ability to convey complex compliance concepts clearly and effectively.
✨Prepare for Practical Scenarios
Think about practical scenarios you might face in the role, such as managing relationships with the Principal or coordinating compliance with Luxembourg teams. Be ready to discuss how you would approach these situations, as this will show your problem-solving skills and practical understanding of the role.