Senior Compliance Associate
3 weeks ago
Senior 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 a Senior Compliance Associate to join their Compliance team and contribute to the success and growth of the firm.
Role Overview:
As a Senior Compliance Associate, you will play a crucial role in maintaining and enhancing the firm's compliance programme. You will be responsible for monitoring and ensuring adherence to applicable regulations, policies, and procedures. The ideal candidate will have an understanding of financial regulations, be able to analyse complex compliance issues, and effectively communicate with stakeholders at all levels.
Key Responsibilities:
· Regulatory compliance: Stay abreast of relevant financial regulations, including but not limited to AIFMD and other FCA guidelines.
· Thematic reviews and testing
· Develop and maintain compliance policies and procedures
· Regulatory filing
· Financial promotions and marketing compliance reviews
· PA dealing
· G&E
· Compliance training
· Client onboarding (AML and KYC)
· Ad hoc project work
Requirements:
· Bachelor's degree in Finance, Economics, Law, or a related field.
· Prior experience (5+ years) in a generalist compliance role working for an alternative investment firm.
· Strong knowledge of UK financial regulations and industry best practices.
· Excellent analytical and problem-solving skills with high attention to detail.
· Ability to communicate complex compliance issues clearly and effectively to diverse stakeholders.
If you believe you have the skills and experience to excel in this role and contribute to the firm’s continued success, we encourage you to apply.
For more details, please contact Jon Pettet at jon.pettet@blackswangroup.com
-
Compliance Associate
3 days ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Associate to join the business. THE RESPONSIBILITIES: Undertake day to day handling of financial promotion approvals, complaint handling escalations and onboarding queries. Understand, keep up to date with...
-
Compliance Associate
7 days ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: Our client is an innovative investment platform in the Fintech space, with exciting growth plans. They are looking for a Compliance Associate to join the business. THE RESPONSIBILITIES: Undertake day to day handling of financial promotion approvals, complaint handling escalations and onboarding queries. Understand, keep up to date with...
-
Director/Associate Director | Compliance
2 weeks ago
London, United Kingdom Hays Senior Finance Full timeMy client is a global advisory firm who specialise in commercial disputes, valuation advisory, litigation & international arbitration, investigations/intelligence, compliance/monitoring, forensic technology and data analytics. A single global p&l they have for many years been adept at resourcing projects with their international as well as domestic staff, a...
-
Director/Associate Director | Compliance
2 weeks ago
London, United Kingdom Hays Senior Finance Full timeMy client is a global advisory firm who specialise in commercial disputes, valuation advisory, litigation & international arbitration, investigations/intelligence, compliance/monitoring, forensic technology and data analytics. A single global p&l they have for many years been adept at resourcing projects with their international as well as domestic staff, a...
-
Trainee Compliance Associate
2 weeks ago
London, United Kingdom FinTech Compliance Full timeJob description FinTech Compliance is a consultancy providing compliance advice to a wide variety of FCA regulated financial services firms, with a particular focus on technology-based, innovative and alternative finance businesses. Our core services include FCA authorisations, ongoing advice and support, the authoring of policies/procedures, compliance...
-
Senior Compliance Monitoring
1 week ago
London, United Kingdom Compliance Professionals Full timeWe are collaborating with a boutique investment bank in their search for a Head of Compliance. The bank has a strong reputation in the emerging markets space, offering their clients a range of banking services. Lead the Compliance Department with responsibility for the overarching compliance framework, resourcing and strategy. Promote a strong...
-
Senior Compliance Monitoring
1 week ago
London, United Kingdom Compliance Professionals Full timeWe are collaborating with a boutique investment bank in their search for a Head of Compliance. The bank has a strong reputation in the emerging markets space, offering their clients a range of banking services. Lead the Compliance Department with responsibility for the overarching compliance framework, resourcing and strategy. Promote a strong...
-
Compliance Associate/Senior Associate
1 week ago
London, United Kingdom Coopman Search and Selection | B Corp™ Full timeCoopman Search and Selection are delighted to partner with an award-winning and specialist compliance and regulatory consultancy providing expert advice and products to financial institutions, who are looking for a Senior Associate to join them. This particular role is within a team who provide support to insurance firms along with those undertaking consumer...
-
Compliance Associate/Senior Associate
1 week ago
London, United Kingdom Coopman Search and Selection | B Corp™ Full timeCoopman Search and Selection are delighted to partner with an award-winning and specialist compliance and regulatory consultancy providing expert advice and products to financial institutions, who are looking for a Senior Associate to join them. This particular role is within a team who provide support to insurance firms along with those undertaking consumer...
-
Senior Risk
2 months 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
2 months 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 Monitoring
7 days ago
London, United Kingdom Compliance Professionals Full timeOur client is an international full-service commercial bank. They are looking for a Head of Compliance to hold the SMF16 & 17 registers for their London business. Responsible for the policies and procedures forming the compliance framework within the Branch Ensure the compliance framework is regularly reviewed and consistent with all applicable legal and...
-
Senior Compliance Associate
1 month ago
London, United Kingdom Robert Half Full time**Global Insurance Brokerage - Senior Compliance Associate** **£55k - £65k** **London - Hybrid** - **Senior Compliance Associate**: - **Generalist position and AML**: - **Working in a team of 10**: - **3 days a week in the office**: - **Great bonus & benefits**: - **Lots of opportunity for progression** **Job Purpose** To provide efficient and...
-
Compliance Associate/Senior Associate
5 days ago
London, United Kingdom The MWek Company Full time €60,000 - €70,000Digital Asset Exchange and FinProm Consultancy Liverpool Street (5 days per week in the office) *** This is an office based role , you must be able to commute to and work in the City of London as a norm*** Compliance Senior Associate (Financial Promotions) - reporting to Head of Regulation This role will be part of our Financial Promotions team and will...
-
Risk & Compliance Officer
7 days ago
London, United Kingdom Compliance Professionals Full time**THE COMPANY**: We are working with a retail and wholesale bank based in the Westend in their search for a Risk & Compliance Officer to join the team. **THE RESPONSIBILITIES**: - Report any deficiencies in the Bank’s policies or practices in relation to Compliance to the Compliance Manager and where applicable to the Head of Department. - Analyse and...
-
Senior Compliance Associate
7 days ago
London, United Kingdom Coopman Search and Selection | B Corp™ Full timeCoopman Search and Selection are delighted to partner with an award-winning and specialist compliance and regulatory consultancy providing expert advice and products to financial institutions, who are looking for a Senior Associate to join them. This particular role is within a team who provide support to insurance firms along with those undertaking consumer...
-
Senior Compliance Manager
7 days 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...
-
Senior Compliance Manager
2 months 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...
-
Senior Compliance Manager
2 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...
-
Risk & Compliance Officer
3 days ago
London, United Kingdom Compliance Professionals Full timeTHE COMPANY: We are working with a retail and wholesale bank based in the Westend in their search for a Risk & Compliance Officer to join the team. THE RESPONSIBILITIES: Report any deficiencies in the Bank’s policies or practices in relation to Compliance to the Compliance Manager and where applicable to the Head of Department. Analyse and keep...