Fundsure is a London-based compliance consultancy and Authorised Corporate Service Provider serving FCA-regulated firms, principally asset managers, AIFMs, investment firms and Annex 1 businesses. We project manage fund launches across UCITS, hedge, credit, real estate, private equity and ETF structures, advise on jurisdiction and service provider selection, act as outsourced COO, support AIFM authorisations, handle FCA authorisations and variations of permission, provide outsourced SMF3/16/17 roles, manage AML registrations and deliver ongoing compliance advisory to a growing client base.
We are a small firm with a senior client list. The work is varied, technical and hands-on, and you will be working directly with the CEO from day one.
The role
We are looking for an experienced compliance professional to take on a substantial share of the day-to-day delivery across our client portfolio. This is a delivery role, not a supervisory one. You will draft, review, monitor and prepare; the CEO holds the regulated SMF responsibilities and signs off client-facing output.
The role is fully remote within the UK with occasional meetings in London. We are open to either a part-time arrangement (two to three days a week) or a full-time six-month fixed-term contract, with scope to extend or convert if the fit is right.
What you will do
- Run compliance monitoring programmes for client firms, including planning, testing, documenting findings and drafting remediation actions.
- Draft and maintain compliance frameworks and policies: compliance manuals, AML/CTF policies and business-wide risk assessments, conflicts, best execution, personal account dealing, financial promotions, CASS and outsourcing arrangements.
- Support FCA applications and notifications: Part 4A authorisations, Annex 1 registrations, variations of permission, SMF and certification applications, and Connect submissions.
- Carry out AML and KYC file reviews, customer due diligence and identity verification work in support of our ACSP obligations.
- Prepare compliance reports and papers for client boards and committees in support of our outsourced SMF roles.
- Monitor regulatory developments (FCA, HM Treasury, JMLSG, Companies House) and turn them into practical client briefings and action points.
- Support Companies House filings and corporate services work for client entities.
- Research discrete regulatory questions and produce clear written advice for review.
What we are looking for
- Three to five years or more of UK financial services compliance experience, gained in an FCA-regulated firm or a compliance consultancy. Asset management or investment firm exposure is strongly preferred.
- Working knowledge of the FCA Handbook and the core regimes we deal with daily: AIFMD, MiFID, SMCR, CASS, and the FSMA perimeter.
- Good knowledge of the Money Laundering Regulations 2017 and JMLSG guidance, including business-wide risk assessments, customer due diligence and enhanced due diligence, PEP and sanctions screening, and the MLRO reporting framework.
- Hands-on experience preparing FCA Annex 1 registration applications, including the business plan, AML framework and controls narrative, and handling FCA case officer queries through to registration.
- Strong drafting. Much of the job is producing documents a client or regulator will read, so you need to write clearly and accurately without heavy editing.
- Experience using FCA Connect and Companies House online services.
- Comfortable working independently and remotely, managing several client workstreams at once and knowing when to elevate.
- UK-based with the right to work in the UK, and able to travel to London occasionally.
Useful but not essential
- CISI, ICA or equivalent compliance or AML qualification.
- Previous consultancy experience or exposure to multiple client firms.
- Involvement in fund launches or authorisation projects.
- Experience with Cayman or other offshore fund structures.
Terms
Location: remote, UK. Occasional meetings at our Mayfair office.
Hours: part-time (two to three days a week) or full-time on a six-month fixed-term contract. Tell us which you prefer when you apply.
Salary: competitive, pro rata for part-time, depending on experience.
Start: as soon as possible.
Reporting to: Steve Middleton, CEO.
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