Compliance Manager - Private Markets

Coopman Search and Selection are delighted to partner with a UK HQ'd Alternative Investment Manager who are looking to hire a Compliance Manager to be part of their small compliance team. The role will report direct into the Head of Compliance and offers plenty of scope for progression & taking on more responsibility.

Key Responsibilities:

• Predominantly responsible for completing the Compliance Monitoring Programmes which includes collating information and documentation, conducting the tests, suggesting recommendations or enhancements to systems and controls and preparing the requisite reports;
• Review of Compliance Policies and Procedures;
• Assistance in implementing regulatory change and conduct regulatory change horizon scanning;
• Preparing questionnaires for and conducting third party service provider due diligence including assisting with onsite visits;
• Preparing regulatory filings and applications e.g. FCA, US SEC and other authorities;
• Produce training slides and conduct compliance training;
• Review and approve financial promotions;
• Conduct thematic reviews and gap analyses; and
• Provide compliance advice and respond to queries.

Experience Required:

• Strong Knowledge and understanding of AIFMD, MiFID II and the FCA Handbook but also UCITS/COLL is desirable
• Knowledge of US Investment Company Act 1940 and SEC regulation for registered investment advisers – experience working at SEC registered investment advisers is desirable;
• Strong experience conducting tests and making recommendations through compliance monitoring programmes;
• Knowledge and experience of best execution and post-trade surveillance monitoring (AIM Market exposure desirable);
• Strong experience in reviewing Compliance Policies and Procedures;
• Knowledge and understanding of ESG regulation including TCFD, SFDR, SDR and the ESG Sourcebook is desirable;
• Demonstrable knowledge and understanding of the financial promotions rules;

For a confidential discussion or for further information, please get in touch with chris.wood@coopman.uk

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