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- Tasks: Join as a Senior Compliance Officer, managing compliance frameworks and regulatory reports.
- Company: Work with a global investment manager with $50bn AUM, focused on rapid growth.
- Benefits: Enjoy hybrid work (4 days in-office) and competitive salary of £100k-£110k p/a.
- Why this job: Be part of a dynamic team, impacting compliance in alternative investments while growing your career.
- Qualifications: 5+ years in compliance, knowledge of alternatives, and FCA regulations required.
- Other info: Immediate start preferred; only qualified candidates will be contacted.
The predicted salary is between 80000 - 120000 £ per year.
Maldon Partners are recruiting a Senior Compliance Officer on a 15 Month Maternity cover basis for a Global Alternative Investment Manager based in London.
The firm has c$50bn AUM across four main business areas: Private Equity, Real Estate, Absolute Return Hedge Funds and Credit Management and is in super growth mode looking to double their AUM in the coming years.
This is an excellent opportunity for an experienced compliance professional who is immediately available or on a very short notice period (maximum 1month) who also has experience in the Alternatives Space (CLO's, Private Equity or Real Estate)
Hybrid working is on offer (4 days in the office)
The Role:
The role holder will be responsible for working directly with the Chief Compliance Officer to administer all aspects of the compliance frameworks for all lines of business.
Responsibilities will include but not be limited to:
- Ensuring that the business submits on a timely basis all required regulatory reports through UK RegData and SEC FINRA Gateway..
- Maintaining and updating Compliance Manuals.
- Performing the tasks required by, and periodically updating as necessary, the Compliance Monitoring Programs.
- Assisting with the maintenance of the Firm’s personal dealing policies and procedures and online certifications system.
- Leading the submission of SM&CR applications and annual Fitness and Propriety refresher.
- Carrying out AML due diligence
- Assist with counterparty KYC requests.
- Assist in deal related regulatory filings.
- Reviewing all promotional materials proposed to be utilized before they are utilized to determine if they can be approved by the CCO as being are fair, clear and not misleading.
- Assist with the preparation of Board packs.
- Carry out regulatory horizon scanning.
- Assist with The Task Force on Climate-related Financial Disclosures (“TCFD”) reporting.
Experienced Required:
- A minimum of 5years Generalist Compliance experience.
- Some knowledge of Alternative Investments (CLO’s, Private Equity or Real Estate)
- Previous experience with an Institutional client base
- Excellent knowledge of FCA rules and regulations
- Ability to work with autonomy and make decisions
Salary:
The Senior Compliance officer (15 Months Mat cover role) has a FTC salary of c£100k-£110k p/a or a day rate of c£500-£600p/d depending on experience.
*Please note that only candidates who meet the above requirements will be contacted
Senior Compliance Officer (15m contract) employer: Maldon Partners
Contact Detail:
Maldon Partners Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Officer (15m contract)
✨Tip Number 1
Make sure to highlight your experience in compliance within the alternatives space, especially with CLOs, Private Equity, or Real Estate. This will show that you understand the specific challenges and regulations in this sector.
✨Tip Number 2
Familiarize yourself with the latest FCA rules and regulations, as well as any recent changes in compliance requirements. Being up-to-date will demonstrate your commitment and expertise during discussions.
✨Tip Number 3
Prepare to discuss your ability to work autonomously and make decisions. Think of examples from your past roles where you successfully navigated compliance challenges independently.
✨Tip Number 4
Since the role involves working closely with the Chief Compliance Officer, be ready to showcase your teamwork and communication skills. Highlight experiences where you collaborated effectively with senior management.
We think you need these skills to ace Senior Compliance Officer (15m contract)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your compliance experience, especially in the Alternatives Space. Include specific examples of your work with CLOs, Private Equity, or Real Estate to demonstrate your expertise.
Craft a Strong Cover Letter: Write a cover letter that clearly outlines your relevant experience and why you are a great fit for the Senior Compliance Officer role. Mention your familiarity with FCA rules and regulations and your ability to work autonomously.
Highlight Key Skills: In your application, emphasize your generalist compliance experience, knowledge of regulatory frameworks, and any previous work with institutional clients. This will help you stand out as a qualified candidate.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors or typos. A polished application reflects your attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at Maldon Partners
✨Showcase Your Compliance Expertise
Make sure to highlight your extensive experience in compliance, especially within the Alternatives Space. Be prepared to discuss specific examples of how you've navigated regulatory challenges and contributed to compliance frameworks in previous roles.
✨Demonstrate Knowledge of FCA Regulations
Since the role requires excellent knowledge of FCA rules and regulations, brush up on the latest updates and be ready to discuss how they impact the business. This will show that you are proactive and well-informed.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your decision-making skills and ability to work autonomously. Think of situations where you had to make tough compliance decisions and be ready to explain your thought process.
✨Understand the Business Model
Familiarize yourself with the firm's business areas, particularly Private Equity, Real Estate, and Hedge Funds. Understanding their operations will help you tailor your responses and demonstrate your genuine interest in the role.
