A boutique Real estate Investment Manager is looking for a Compliance officer to come and support the Head of Compliance in London. 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 engage with people right across the business. They are ideally looking for someone on a part time basis for 2/3 days a week.
Role objectives:
- To support 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.
- To be the principal focus for the maintenance of Compliance monitoring and KYC record management within the group.
Responsibilities:
- Collation and maintenance of KYC records for all existing investor clients, including assisting with onboarding new investors and review of all existing investor records in their annual review.
- Provide support to the Head of Compliance in the arrangements for the group Conflicts Committee and maintaining accurate minutes.
- Assisting the Head of Compliance in the preparation for and maintaining minutes of the monthly Risk & Compliance Committee, including ensuring the receipt of all relevant papers from attendees and the efficient circulation of minutes.
- Provide support to the Head of Compliance in the production of the Annual Compliance, MLRO and DPO reports and the collation of information.
- Supporting the Head of Compliance in the SMCR process for new and existing employees, arranging meetings and collation of assessments and certifications.
- Supporting the Head of Compliance in the management of and collation of all records for Conflicts of Interests and Outside business interests of employees.
- Assisting the Head of Compliance in liaison with external parties, including external depositaries in UK, Channel Islands and Luxembourg, and the Luxembourg manager of a fund and the collation of records and reports with each.
- Maintenance of the “workstream” records of all ongoing issues affecting the business for daily or weekly review with the Head of Compliance
Experience required:
- An excellent understanding of the UK FCA rules.
- To be a self-starter and able to work independently.
- 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.
