Compliance Manager

A boutique Real estate Investment Manager are looking for a Compliance Manager to support the Head of Compliance. They are looking for someone with a strong generalist compliance background within an investment/asset Manager or Hedge fund to join them. In this role, you will be empowered to make decisions and also engage with people right across the business, and also be expected to deal interact with the regulators on occasion.

Role objectives:

The role will involve supporting the Compliance Officer and MLRO of the business in all matters relating to FCA and other relevant regulatory matters within the group, to include Data Protection as well as to be the principal focus for the maintenance of Compliance monitoring and KYC record management within the group.

Responsibilities:

  • Maintaining the Corporate and AIFMD compliance monitoring records for the group companies as needed.
  • Maintaining the firm’s client list, KYC updates and AML onboarding arrangements for the firm’s clients.
  • Developing and enhancing existing policies for regulatory, updating and monitoring arrangements as necessary.
  • Assisting in the implementation of the arrangements for MIFIDII, GDPR and the “Senior Managers’ Regime” for the firm.
  • Assisting in the collation and presentation of compliance reports for the monthly risk and compliance committee meeting.
  • Assisting and liaising with the fund management team on ad hoc compliance matters as necessary.

Experience required:

  • An excellent understanding of the UK FCA reporting and monitoring requirements.
  • To be able to work independently.
  • Able to demonstrate the ambition and ability to adopt progressively increasing responsibility.
  • Self-starter with a pro-active attitude towards the responsibilities assigned.
  • Good problem-solving capabilities.
  • Personality to be suited to work within a small company, and ability to work independently.
Website Job Registration - Listing Pages