Senior Compliance Associate

4 weeks ago

London, United Kingdom Coopman Search and Selection Full time

Coopman Search and Selection are delighted to partner with an alternatives asset manager who are looking hire a Senior Compliance Associate due to their continued growth planned within Europe. The role will report direct into the Head of Compliance will be the second hire into the team.

In this role you will be responsible for assisting the head of compliance with the day to day running of the compliance programme whilst also supporting with any ad hoc projects. The role would suit someone looking for a step up in responsibility or wanting to be part of a smaller compliance team where the coverage would be more broad.

Key Responsibilities:

  • Oversight of Code of Ethics reviews and certifications using online system.
  • Creating, testing and revising procedures
  • Researching & verifying performance analysis.
  • Assist in preparing regulatory reporting, foreign licensing and application filings.
  • Assist in preparing for SEC examinations.
  • Coordinating with internal groups in the collection of audit requests.
  • Review Marketing Material and advertising to ensure guidelines are followed
  • Review and tracking of allocation process
  • Tracking internal deliverables and associated follow up.
  • Various ad hoc projects as requested.

Experience Required:

  • Minimum 3 years within asset management (Private Equity or Venture Capital preferred)
  • Generalist compliance experience
  • Strong knowledge of AIFMD
  • UK & EU regulatory experience
  • High energy, drive for excellence, stamina and ability to excel in a fast-paced environment

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

As a Certified B Corporation™, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work™, we ensure our workplace is one that fosters professional growth and collaboration.

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