At a Glance
- Tasks: Lead compliance efforts and strengthen financial crime frameworks across multiple jurisdictions.
- Company: Join a dynamic asset management firm focused on compliance excellence.
- Benefits: Competitive salary, professional development, and a chance to shape compliance strategies.
- Other info: Opportunity for growth in a fast-paced, high-growth environment.
- Why this job: Make a real impact in compliance while working with a talented team.
- Qualifications: Extensive compliance experience and strong leadership skills required.
The predicted salary is between 90000 - 110000 £ per year.
- Operate and continuously strengthen 17Capital's compliance and financial crime framework across regulated entities.
- Manage, review and quality-control the work of two Compliance Associates.
- Lead investor onboarding, investor transfer and transactional AML processes.
- Oversee market abuse and MNPI controls, information barriers, approvals and chaperoning arrangements.
- Own the Compliance Monitoring Programme and heatmap, tracking findings through remediation.
- Design and maintain monitoring programmes across UK, US, Dubai and Japan regulated activities and jurisdictions.
- Maintain the Compliance calendar and Compliance Alpha for regulatory deadlines and tasks.
- Ensure accurate Compliance Committee papers and minutes.
- Maintain compliance policies, procedures and registers; create new policies and processes.
- Lead annual regulatory reports, including the Annual SYSC Report, Financial Crime Risk Assessment and Annual Compliance Officer Report.
- Oversee ICARA, MIFIDPRU 8 disclosures, regulatory risk assessments and remuneration policy compliance.
- Administer Code of Ethics, SMCR, Material Risk Takers, employee attestations, certifications and compliance training.
- Oversee communications surveillance, personal account dealing, broker feeds, conflicts of interest and staff regulatory applications.
- Review and approve financial promotions and client communications under FCA and SEC requirements.
- Coordinate investor compliance due diligence questionnaires and support fundraising AML/KYC activities.
- Oversee FATCA/CRS reporting across Luxembourg, UK and Guernsey.
- Manage SEC filings including Form ADV and Form D, FCA reporting, DFSA/DIFC matters, Luxembourg/CSSF requirements and Canadian provincial filings.
- Monitor and advise on regulatory change, data protection and ICO compliance matters.
- Coordinate quarterly KPI submissions and support compliance-related service provider and outsourcing procurement.
- Encourage AI and technology adoption to improve team efficiency.
Requirements
- Substantial experience in a compliance leadership role within an FCA-regulated asset manager, ideally within private capital/alternatives.
- Demonstrated experience managing, developing and reviewing the work of junior compliance staff.
- Relevant professional qualification (e. g. ICA, CISI) preferred.
- Strong working knowledge of FCA rules, including SYSC, COBS, MIFIDPRU, and Reg Data/FCA Connect reporting requirements.
- Beneficial: knowledge of SEC regulatory requirements applicable to registered investment advisers, including Form ADV and Form D filings.
- Beneficial: working knowledge of FATCA/CRS reporting obligations and administration.
- Sound understanding of UK and international AML/KYC frameworks, including investor onboarding, transactional AML, and ongoing due diligence.
- Familiarity with SMCR and the Material Risk Takers regime.
- Understanding of market abuse regulation and MNPI/information barrier controls.
- Exposure to DFSA/DIFC and Luxembourg/CSSF regulatory regimes is advantageous.
- Awareness of UK data protection law and ICO requirements.
- Experience with private funds/alternative asset manager compliance, ideally within private equity, credit, or NAV/preferred equity structures.
- Excellent written and verbal communication skills.
- Ability to liaise confidently with regulators, auditors, and institutional investors.
- Ability to manage multiple regulatory deadlines across jurisdictions.
- Pragmatic, solutions-oriented approach, comfortable operating in a lean, high-growth team.
- Core Competencies
Demonstrates extensive expertise in compliance leadership within FCA-regulated environments, with a strong focus on AML/KYC frameworks, regulatory reporting, and compliance monitoring across multiple jurisdictions.
Proven ability to manage and develop compliance teams while ensuring adherence to complex regulatory requirements.
- Highest-signal resume keywords
- FCA Regulatory Knowledge
- AML/KYC Frameworks
- Compliance Leadership
- Regulatory Reporting
- Compliance Policy Development
- ATS Optimization Keywords
- Hard Skills
- Compliance Monitoring
- Regulatory Risk Assessment
- Investor Onboarding
- Market Abuse Regulation
- FATCA Reporting
- SEC Filings
- MIFIDPRU Compliance
- SMCR Knowledge
- Material Risk Takers Regime
- Data Protection Compliance
- Soft Skills
- Excellent Communication Skills
- Pragmatic Problem Solving
- Team Management
- Stakeholder Liaison
- Solutions-Oriented Approach
Certifications & Qualifications
- ICA Qualification
- CISI Qualification
- Industry Keywords
- FCA
- SEC
- AML
- KYC
- Private Capital
- Alternatives
- DFSA
- DIFC
- Luxembourg CSSF
- UK Data Protection Law
- Tools & Technologies
- Compliance Calendar
- Compliance Alpha
- Regulatory Reporting Tools
- KPI Tracking Systems
- Compliance Training Platforms
- #J-18808-Ljbffr
Compliance Director, Maternity Cover – 12 Months, FTC in London employer: Jobtailor
As a Client Services Coordinator at our dynamic company, you will thrive in a supportive work culture that prioritises employee growth and development. We offer comprehensive training, opportunities for advancement, and a collaborative environment where your contributions are valued. Located in a vibrant area, our team enjoys a healthy work-life balance and the chance to engage with diverse clients, making every day rewarding and meaningful.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Director, Maternity Cover – 12 Months, FTC in London
✨Dive into Industry Groups
Join compliance and risk management groups on platforms like LinkedIn and Facebook. These communities often share temp job postings and insights. You’d be surprised at how many temporary gigs float around through word of mouth!
✨Showcase Your Expertise
Consider creating content on compliance topics that get you noticed—think LinkedIn articles or even a blog. This not only shows off your knowledge but can grab the attention of companies like Jobtailor when they’re searching for someone to fill a temporary position.
✨Tap into Recruitment Agencies
Reach out to recruitment agencies that specialise in compliance and risk roles. They’re usually in touch with companies looking to fill temporary roles, which can save us a lot of time in our job search.
✨Go Local with Networking
Attend local compliance and risk seminars or workshops. Meeting professionals in our area can open up temp opportunities, and it’s a great way to make your face known in the industry—plus, you might even meet someone from Jobtailor!
We think you need these skills to ace Compliance Director, Maternity Cover – 12 Months, FTC in London
Some tips for your application 🫡
Show Your Compliance Know-How:When you’re applying for a compliance-risk role like Compliance Director, Maternity Cover – 12 Months, FTC, make sure to highlight your understanding of industry regulations and risk management principles. Mention any relevant coursework, certifications, or projects that showcase your expertise in these areas—it's what sets you apart!
Highlight Your Analytical Skills:In the compliance-risk field, strong analytical skills are essential. Talk about your experiences that required critical thinking and data analysis, whether in past roles, internships, or academic projects. Show us how you've identified risks and implemented solutions in the past.
Tailor Your CV for the Temporary Role:Since this is a temporary role, focus on your availability and flexibility in your CV. Highlight any previous short-term roles or projects that demonstrate your ability to adapt quickly and deliver results in a fast-paced environment. This helps employers see you as an easy fit in their team!
A Concise Cover Letter is Key:Keep your cover letter short and focused! Explain why you're interested in the compliance-risk area specifically for this temporary position at Jobtailor. Mention what you hope to learn and achieve, showing your enthusiasm and motivation to contribute positively during your time there.
How to prepare for a job interview at Jobtailor
✨Know Your Compliance Basics
Make sure you're clued up on the key compliance and risk regulations pertinent to the industry you're applying to. Understanding frameworks like GDPR or AML will not only impress but also show that you’re ready to hit the ground running in your temporary role at Jobtailor.
✨Prepare for Scenarios
Expect scenario-based questions that test your problem-solving skills. They might ask how you'd handle a specific compliance issue. Think through real situations you’ve encountered in past roles or study hypothetical cases to showcase your analytical skills and practical judgement during the interview.
✨Highlight Your Adaptability
Since this is a temporary position, emphasise your ability to adapt quickly to new environments and team dynamics. Share examples of how you’ve successfully adjusted to changes in past roles and how this flexibility can benefit Jobtailor in the short term.
✨Gather Your Technical Tools
Familiarise yourself with commonly used compliance tools or software, as they might come up in the interview. If you've used tools for risk assessments or compliance tracking, mention those and be ready to discuss how they can streamline processes at Jobtailor.
