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- Tasks: Lead compliance monitoring and enhance systems in a dynamic investment management environment.
- Company: Join a UK-based B Corp alternative investment manager committed to sustainable business practices.
- Benefits: Enjoy a competitive salary, career progression, and a collaborative workplace culture.
- Why this job: Make a real impact in compliance while growing your skills in a supportive team.
- Qualifications: Strong knowledge of AIFMD, MiFID II, and compliance monitoring experience required.
- Other info: Be part of a Great Place to Work with excellent growth opportunities.
The predicted salary is between 43200 - 72000 £ per year.
Coopman Search and Selection are delighted to partner with a UK HQ'd Alternative Investment Manager who are looking to hire a Compliance Manager to be part of their small compliance team. The role will report direct into the Head of Compliance and offers plenty of scope for progression & taking on more responsibility.
Key Responsibilities:
- 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 e.g. FCA, US SEC and other authorities;
- Produce training slides and conduct compliance training;
- Review and approve financial promotions;
- Conduct thematic reviews and gap analyses;
- Provide compliance advice and respond to queries.
Experience Required:
- 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 (AIM Market exposure desirable);
- Strong experience in reviewing Compliance Policies and Procedures;
- Knowledge and understanding of ESG regulation including TCFD, SFDR, SDR and the ESG Sourcebook is desirable;
- Demonstrable knowledge and understanding of the financial promotions rules.
As a Certified B Corporation, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work, we ensure our workplace is one that fosters professional growth and collaboration.
Compliance Manager - Private Markets in London employer: Coopman Search and Selection | B CorpTM
Contact Detail:
Coopman Search and Selection | B CorpTM Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager - Private Markets in London
✨Tip Number 1
Don't just sit back and wait for the perfect job to come to you. Get proactive! Reach out directly to the job poster, like Chris from Coopman Search and Selection, and express your interest in the Compliance Manager role. A personal touch can make all the difference!
✨Tip Number 2
Networking is key! Connect with professionals in the compliance field on LinkedIn or at industry events. Share your knowledge about AIFMD and MiFID II, and don’t hesitate to ask for advice or insights. You never know who might have a lead on your dream job!
✨Tip Number 3
Prepare for interviews by brushing up on your knowledge of compliance policies and procedures. Be ready to discuss how you've conducted compliance monitoring programmes in the past. Show them you’re not just a fit for the role, but a valuable asset to their team!
✨Tip Number 4
Finally, apply through our website! It’s the best way to ensure your application gets seen. Plus, we love seeing candidates who take the initiative to engage with us directly. Let’s get you that Compliance Manager position!
We think you need these skills to ace Compliance Manager - Private Markets in London
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter for the Compliance Manager role. Highlight your experience with AIFMD, MiFID II, and any relevant compliance monitoring programmes you've worked on. We want to see how your skills align with what we're looking for!
Showcase Your Knowledge: Don’t just list your qualifications; demonstrate your understanding of the FCA Handbook and ESG regulations. Use specific examples from your past roles to show us how you’ve applied this knowledge in real-world situations.
Be Clear and Concise: When writing your application, keep it straightforward and to the point. We appreciate clarity, so avoid jargon and make sure your key achievements stand out. This will help us quickly see why you’re a great fit for our team!
Apply Through Our Website: We encourage you to submit your application directly through our website. It’s the best way to ensure we receive all your details correctly and gives you a chance to explore more about our company culture and values!
How to prepare for a job interview at Coopman Search and Selection | B CorpTM
✨Know Your Regulations
Make sure you brush up on AIFMD, MiFID II, and the FCA Handbook. Being able to discuss these regulations confidently will show that you're serious about the role and understand the compliance landscape.
✨Prepare Real-Life Examples
Think of specific instances where you've conducted compliance monitoring or made recommendations based on your findings. Sharing these examples will demonstrate your hands-on experience and problem-solving skills.
✨Showcase Your Training Skills
Since the role involves producing training slides and conducting compliance training, be ready to discuss any previous experience you have in training others. Highlight how you made complex topics accessible and engaging.
✨Ask Insightful Questions
Prepare thoughtful questions about the company's compliance culture and how they handle regulatory changes. This shows your genuine interest in the role and helps you assess if it's the right fit for you.
