At a Glance
- Tasks: Lead compliance and risk functions, ensuring robust frameworks and regulatory adherence.
- Company: Join a top fund finance asset manager with a values-driven culture.
- Benefits: Competitive salary, professional growth, and a dynamic work environment.
- Other info: Fast-paced environment with opportunities for career advancement.
- Why this job: Make a real impact in compliance while working with industry leaders.
- Qualifications: 4-6 years in financial services, with strong compliance experience.
The predicted salary is between 60000 - 80000 £ per year.
NLC is a leading specialist fund finance asset manager and the largest independent non-bank lender in the fund finance market. We combine flexible non-bank capital, structuring expertise, deep relationships across LPs and GPs, and technology to deliver scalable fund and GP financing solutions globally.
Our ambition is to be the partner of choice across the fund finance ecosystem: providing institutional investors exposure to high-quality, investment-grade risk-adjusted returns and providing private capital managers with certainty, speed and tailored solutions where traditional providers cannot always move. We are building NLC around a values-led culture of Excellence, Team Player, Innovation, Integrity, Honest and Open Environment, and Dependability, with people who take ownership, challenge the status quo and help scale a business designed to lead the market.
About the Role
We are looking for a Compliance & Risk Manager. The successful candidate will own the firm’s compliance and risk function and will work closely with the investment team, operations, and external compliance advisers to build and maintain a robust compliance framework as the firm continues to scale.
The ideal candidate will support the partners of the firm with any engagement with the FCA and SEC, and the capability to build and run a compliance monitoring programme from the ground up. A background from a compliance consultancy or a compliance manager role within a financial services firm would be a strong fit.
- Own and manage the firm’s day-to-day compliance processes and compliance monitoring programme
- Maintain and update compliance policies, procedures, registers, and governance documentation
- Own KYC/AML processes, onboarding controls, and ensure appropriate segregation of duties
- Assisting the Firm with implementing its compliance and AML/financial crime frameworks as part of the FCA authorisation application and US Registered Investment Advisor application
- Ongoing regulatory reporting obligations, including event driven notifications (e.g. Approved Persons (Senior Management Functions - “SMF”) application); RegData reports (e.g. prudential reports).
- Manage trading compliance controls, including oversight of the firm’s block list and pre-approval processes for securities trading
- Assist with ongoing FCA and SEC compliance obligations
- Develop and maintain the firm’s risk framework, including the ICARA and risk register
- Assist with ESG-related reporting and coordinate compliance training across the firm
What We Are Looking For
We are looking for a confident and credible compliance professional who can own the function from day one and engage with regulators on both sides of the Atlantic. The ideal candidate will have:
- Approximately 4-6 years industry experience within financial services with at least 2–3 years’ experience in a legal or compliance role
- Experience gained at a compliance consultancy, asset manager, FCA-regulated firm, or financial services business
- Experience supporting or managing an FCA authorisation process, or familiarity with SEC Investment Advisor registration, would be highly advantageous
- Strong organisational skills and attention to detail
- The ability to manage multiple priorities in a fast-paced environment
- Strong communication and stakeholder management skills
- A proactive and solutions-oriented approach
- Interest in fund finance, private credit, or alternative investments
