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- Tasks: Lead compliance efforts for a growing Private Investment firm and develop policies and training.
- Company: Niche Private Investment firm with a focus on growth and compliance excellence.
- Benefits: Competitive salary, career progression, and the chance to shape compliance strategy.
- Other info: Dynamic role with opportunities for global collaboration and professional development.
- Why this job: Be the first Compliance Officer and pave the way for future growth and authorisation.
- Qualifications: Experience in Private Markets and knowledge of UK & Luxembourg AIFM requirements.
The predicted salary is between 70000 - 90000 £ 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.
Head of Compliance – AR & Lux Funds in London employer: CLARC Recruitment
Contact Detail:
CLARC Recruitment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance – AR & Lux Funds in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the private investment sector and let them know you're on the hunt for a Compliance Officer role. You never know who might have the inside scoop on opportunities or can put in a good word for you.
✨Tip Number 2
Get your research game on! Familiarise yourself with the latest trends in compliance, especially around AR frameworks and AIFM requirements. This will not only boost your confidence but also give you some solid talking points during interviews.
✨Tip Number 3
Practice makes perfect! Set up mock interviews with friends or mentors to refine your answers, especially around compliance policies and training. The more you practice, the more natural you'll feel when it’s time to shine in front of potential employers.
✨Tip Number 4
Don’t forget to apply through our website! We’ve got loads of resources to help you land that dream job. Plus, applying directly shows your enthusiasm and commitment to joining the team.
We think you need these skills to ace Head of Compliance – AR & Lux Funds in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the role of Compliance Officer. Highlight your experience with Appointed Representative frameworks and your knowledge of UK & Luxembourg AIFM requirements. We want to see how your background fits perfectly with what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your skills can help us grow. Don’t forget to mention your strong communication and training skills, as they’re key for this role.
Showcase Relevant Experience: When detailing your work history, focus on your experience in Private Markets and any compliance-related roles you've held. We love seeing specific examples of how you've managed compliance frameworks or handled breaches in the past.
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates from us during the process!
How to prepare for a job interview at CLARC Recruitment
✨Know Your Compliance Framework
Make sure you have a solid understanding of the Appointed Representative framework and how it applies to the role. Brush up on your knowledge of UK and Luxembourg AIFM requirements, as this will show that you're prepared and serious about the position.
✨Showcase Your Communication Skills
Since strong communication and training skills are essential for this role, be ready to demonstrate these during the interview. Think of examples where you've successfully trained or communicated complex compliance issues to diverse teams, especially in a global context.
✨Prepare for Practical Scenarios
Expect to discuss real-life compliance scenarios, such as handling breaches or incidents. Prepare some examples from your past experience where you managed compliance challenges effectively, highlighting your problem-solving skills and attention to detail.
✨Engage with the Company’s Vision
Research the private investment firm and understand their growth plans. Be ready to discuss how you can contribute to their compliance framework as they transition to full authorisation. Showing enthusiasm for their vision will set you apart from other candidates.