Senior Compliance Manager - Alternative Asset Managment

Senior Compliance Manager - Alternative Asset Management

This range is provided by Anonymous. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Reporting to the Head of Compliance, the Senior Compliance Manager should have varied experience to take on a wide range of responsibilities.

• Lead regulatory change implementation and project management within the Compliance Team as part of the Firm’s horizon scanning
• Assist with the Firm’s CASS Audit and maintenance with the CASS Framework to include maintenance of the CASS Rule Map and Risk Register, thematic reviews of policies and procedures and advisory support to the business
• Assist the Chief Risk Officer with the Firm’s IFPR Framework
• Act as the Compliance Team’s lead on UK, EU and overseas ESG & Sustainability Regimes (e.g. SDR, SFDR, TCFD) to provide advisory support to the Group Sustainability Team
• Assist with US SEC Compliance to include Form ADV and other regulatory filings
• Assist with the maintenance of the Data Protection Framework and Data Governance projects
• Review and approval of financial promotions and client communications
• Assist with the review and maintenance of the Business Risk Assessment, Financial Crime Risk Assessment, Market Abuse Risk Assessments and corresponding FCA and US SEC Compliance Monitoring Programmes
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Assist the Compliance team to conduct and complete Compliance Monitoring Programmes
• Assist in the review of the Firm’s Compliance Manual and Compliance Policies
• Assist the Head of Compliance with periodic reports to the Firm and Group’s governing bodies and forums
• Assist with the preparation of due diligence questionnaires and participation in onsite meetings (inbound and outbound requests)
• Produce training slides and deliver training to the business
• General compliance advisory support to the business
• Any other relevant tasks assigned by the Head of Compliance

COMPETENCIES

• Strong knowledge of AIFMD, MiFID II, UK GDPR and the FCA Handbook (to include but not limited to CASS, MiFIDPRU and ESG Sourcebooks)
• Strong knowledge of the US Investment Advisers Act and experience dealing with US SEC regulatory filings at a Registered Investment Adviser
• Good retail and professional product knowledge to include VCTs, EIS, Business Relief, Investment Trusts, LP/GP Structures and Segregated Managed Accounts
• Good knowledge and understanding of financial promotion rules
• Good knowledge of ESG & Sustainability Regimes (SDR SFDR, TCFD, ESG Source book)
• Able to work independently and collaboratively within a Team
• Strong interpersonal skills in dealing with internal and external stakeholders
• An interest in using technology to enhance and optimize the Compliance Function
• Strong organizational, analytical and attention to detail
• Contribute, or otherwise assist, as required

QUALIFICATIONS AND EXPERIENCE REQUIRED

Strong academic background, law undergraduate degree preferable but not necessary, ideally including a postgraduate qualification and/or compliance professional diploma, 4-7 years’ experience working with buy side Alternative Investment Fund Manager or similar firm

Mid‑Senior level

Full‑time

Analyst

Investment Management and Venture Capital and Private Equity Principals

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