Senior Compliance Associate
4 weeks ago
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.
-
Compliance Associate/Senior Associate
2 days ago
London, United Kingdom Black Swan Group Full timeSenior Compliance Associate – Private Credit Firm - London Our client is a credit fund manager based in London. The firm is committed to maintaining the highest standards of compliance and regulatory adherence, ensuring that their operations comply with all relevant financial regulations and ethical practices. They are currently seeking a Senior...
-
Senior Risk
4 weeks ago
London, United Kingdom AJ FOX COMPLIANCE Full timeOur client - an international law firm - is seeking a Senior Conflicts Lawyer to join their growing team in London. This is an exciting opportunity to work closely with the firm’s senior management, and the wider business, in ensuring the development and maintenance of the highest standard of professional conduct, as well as ensure global compliance with...
-
Senior Risk
4 weeks ago
London, United Kingdom AJ FOX COMPLIANCE Full timeOur client - an international law firm - is seeking a Senior Conflicts Lawyer to join their growing team in London. This is an exciting opportunity to work closely with the firm’s senior management, and the wider business, in ensuring the development and maintenance of the highest standard of professional conduct, as well as ensure global compliance with...
-
Senior Compliance Associate
5 days ago
London, United Kingdom Compliance Professionals Full time**THE COMPANY**: Our client is a successful brokerage firm, providing innovative ways to trade Stocks, ETFs, Forex, Commodities, and more. **THE RESPONSIBILITIES**: - Undertake daily trade surveillance activities using the firm’s automated surveillance tool and investigate alerts in a timely manner. - Identify risks/issues and discrepancies and...
-
Senior Compliance Associate
2 days ago
London, United Kingdom Black Swan Group Full timeSenior Compliance Associate – Private Credit Firm - LondonCompany Overview:Our client is a credit fund manager based in London. The firm is committed to maintaining the highest standards of compliance and regulatory adherence, ensuring that their operations comply with all relevant financial regulations and ethical practices. They are currently seeking a...
-
Senior Compliance Associate
22 hours ago
London, United Kingdom Black Swan Group Full timeJob DescriptionSenior Compliance Associate – Private Credit Firm - LondonCompany Overview:Our client is a credit fund manager based in London. The firm is committed to maintaining the highest standards of compliance and regulatory adherence, ensuring that their operations comply with all relevant financial regulations and ethical practices. They are...
-
Senior Compliance Associate
2 days ago
London, United Kingdom Black Swan Group Full timeSenior Compliance Associate – Private Credit Firm - London Company Overview: Our client is a credit fund manager based in London. The firm is committed to maintaining the highest standards of compliance and regulatory adherence, ensuring that their operations comply with all relevant financial regulations and ethical practices. They are currently...
-
Senior Compliance Associate
2 days ago
London Area, United Kingdom Black Swan Group Full timeSenior Compliance Associate – Private Credit Firm - LondonCompany Overview:Our client is a credit fund manager based in London. The firm is committed to maintaining the highest standards of compliance and regulatory adherence, ensuring that their operations comply with all relevant financial regulations and ethical practices. They are currently seeking a...
-
Senior Compliance Associate
2 days ago
London Area, United Kingdom Black Swan Group Full timeSenior Compliance Associate – Private Credit Firm - London Company Overview: Our client is a credit fund manager based in London. The firm is committed to maintaining the highest standards of compliance and regulatory adherence, ensuring that their operations comply with all relevant financial regulations and ethical practices. They are currently seeking...
-
Senior Compliance Associate
2 days ago
London Area, United Kingdom Black Swan Group Full timeSenior Compliance Associate – Private Credit Firm - LondonCompany Overview:Our client is a credit fund manager based in London. The firm is committed to maintaining the highest standards of compliance and regulatory adherence, ensuring that their operations comply with all relevant financial regulations and ethical practices. They are currently seeking a...
-
Senior Compliance Manager
4 weeks ago
London, United Kingdom Compliance Professionals Full timeOur client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance. THE RESPONSIBILITIES: Support the Head of Compliance in the identification, review, assessment and reporting of key regulatory changes affecting the bank, including the preparation of regulatory impact...
-
Compliance Manager/Senior Manager
4 weeks ago
London, United Kingdom Compliance Professionals Full timeOur client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance. Support the Head of Compliance in the identification, review, assessment and reporting of key regulatory changes affecting the bank, including the preparation of regulatory impact assessments. Support the...
-
Senior Legal
4 weeks ago
London, United Kingdom Barclay Simpson Full timeWe are working with an established global Fintech business who are in the next phase of growth. We are seeking an experienced Compliance Officer & MLRO to manage the Compliance and Financial Crime teams in the UK and across various jurisdictions. The ideal candidate will have knowledge of online trading, crypto and payments. Reporting to the Board you will...
-
Compliance Associate
3 days ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: The following information aims to provide potential candidates with a better understanding of the requirements for this role.Our client is a leading global investment manager, with £billions in AUM. THE RESPONSIBILITIES:Financial Crime – The candidate will be responsible for ensuring that the AML/CTF process of the firm are effective and...
-
Compliance Associate
4 days ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a leading global investment manager, with £billions in AUM. THE RESPONSIBILITIES: Financial Crime – The candidate will be responsible for ensuring that the AML/CTF process of the firm are effective and robust. They will assume day to day responsibility for the AML process including client onboarding, ongoing due diligence,...
-
Senior Compliance Analyst
4 weeks ago
London, United Kingdom Compliance Professionals Full timeOur client is a leading international law and professional services firm providing legal, corporate and fiduciary services to their wide range of clients. THE RESPONSIBILITIES: Be responsible for reviewing the due diligence of existing entities/clients and where appropriate, re-identifying their ownership and control to assess AML/CTF and sanctions risks...
-
Compliance Associate
4 days ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a leading global investment manager, with £billions in AUM. THE RESPONSIBILITIES:Financial Crime – The candidate will be responsible for ensuring that the AML/CTF process of the firm are effective and robust. They will assume day to day responsibility for the AML process including client onboarding, ongoing due diligence, client...
-
Compliance Associate
3 days ago
London, United Kingdom Compliance Professionals Full timeJob DescriptionTHE COMPANY: Our client is a leading global investment manager, with £billions in AUM. THE RESPONSIBILITIES:Financial Crime – The candidate will be responsible for ensuring that the AML/CTF process of the firm are effective and robust. They will assume day to day responsibility for the AML process including client onboarding, ongoing due...
-
Compliance Advisory Officer
2 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice. THE RESPONSIBILITIES: To build a close working relationship with each of the business units to support...
-
Senior Compliance Manager
1 week ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Are you the right candidate for this opportunity Make sure to read the full description below.Our client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance.THE RESPONSIBILITIES:Support the Head of Compliance in the identification, review, assessment and reporting of...