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- Tasks: Join a small compliance team to manage compliance monitoring and regulatory filings.
- Company: Be part of a UK-based Alternative Investment Manager committed to sustainable business practices.
- Benefits: Enjoy opportunities for progression, professional growth, and a collaborative work environment.
- Why this job: Make an impact in compliance while working for a certified B Corporation and Great Place to Work.
- Qualifications: Strong knowledge of AIFMD, MiFID II, and FCA Handbook; experience with compliance monitoring is essential.
- Other info: This role offers a chance to influence compliance policies and procedures in a dynamic setting.
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 Corporationâ„¢, 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 Workâ„¢, we ensure our workplace is one that fosters professional growth and collaboration.
Compliance Manager - Private Markets employer: Coopman Search and Selection
Contact Detail:
Coopman Search and Selection Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager - Private Markets
✨Tip Number 1
Familiarise yourself with the specific regulations mentioned in the job description, such as AIFMD and MiFID II. Being able to discuss these topics confidently during your interview will demonstrate your expertise and commitment to the role.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience with private markets. Engaging in conversations about industry trends and challenges can provide you with valuable insights that you can bring up in your interview.
✨Tip Number 3
Prepare to discuss your experience with compliance monitoring programmes in detail. Think of specific examples where you conducted tests and made recommendations, as this will showcase your practical knowledge and problem-solving skills.
✨Tip Number 4
Research the company’s values and their approach to sustainability, as they are a Certified B Corporation. Be ready to articulate how your personal values align with theirs, which can set you apart as a candidate who fits well within their culture.
We think you need these skills to ace Compliance Manager - Private Markets
Some tips for your application 🫡
Understand the Role: Read the job description thoroughly to grasp the key responsibilities and required experience. Tailor your application to highlight how your skills and experiences align with the Compliance Manager position.
Highlight Relevant Experience: Emphasise your knowledge of AIFMD, MiFID II, and the FCA Handbook in your CV and cover letter. Provide specific examples of your experience with compliance monitoring programmes and regulatory filings to demonstrate your suitability for the role.
Craft a Strong Cover Letter: Write a compelling cover letter that not only outlines your qualifications but also reflects your understanding of the company's values as a Certified B Corporation. Show how you can contribute to their mission of sustainable business practices.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any spelling or grammatical errors. A polished application reflects attention to detail, which is crucial for a Compliance Manager role.
How to prepare for a job interview at Coopman Search and Selection
✨Know Your Regulations
Make sure you have a solid understanding of AIFMD, MiFID II, and the FCA Handbook. Brush up on the US Investment Company Act and SEC regulations too, as these are crucial for the role.
✨Showcase Your Compliance Experience
Be prepared to discuss your experience with compliance monitoring programmes. Highlight specific tests you've conducted and recommendations you've made in previous roles.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific compliance challenges. Think about past experiences where you successfully navigated regulatory changes or conducted due diligence.
✨Demonstrate Your Training Skills
Since the role involves conducting compliance training, be ready to share examples of training materials you've created or sessions you've led. This will show your ability to communicate complex information effectively.
