Assistant Compliance Manager

1 month ago

London, United Kingdom eFinancialCareers Full time

Policies and Monitoring
- Assist in the management of day to day compliance activities, meeting all compliace deadlines and work alongside all business divisions to further the business objectives
- Assist in maintenance of policies and procedures
- Assist the Compliance Manager in oversight of US Compliance activities and reporting requirements
- Assist in the annual preparation of Compliance reports and risk assessments i.e. Annual SYSC report, Annual Remuneration report, Annual Financial Crime risk assessments etc

Reporting
- Prepare UK FCA submissions, notifications and non financial reporting on a quarterly, six-monthly and annual basis including Annex IV
- Prepare and assist in other regulatory reporting worldwide (Canada, Luxembourg, US (Delaware and Form ADV)), where required
- Review FCA Directory on an ongoing basis to ensure leavers, new joiners and changes to individuals' circumstances are reflected on the Directory
- Assist in obtaining GIINs and LEIs for SPVs and fund entities as required
- Assist in the upkeep and annual confirmation submission of Companies House confirmation statements as well as PSC register reviews
- Assist in the annual review of Compliance related website disclosures

Service Provider Oversight
- Assist with the oversight of specialist compliance activities undertaken by 3rd parties

Governance
- Provide support to CCO and Compliance Manager as required
- Assist with the annual review and preparation of the ICARA

Investors:

- Work alongside Investor Relations and the Compliance Manager during investor onboarding procedures
- Work closely with the Luxembourg Fund administrators before, during and after fund closes to ensure all investors are AML compliant
- Escalate any AML issues to the MLRO, as appropriate
- Undertake investor AML refreshes, where required by the Fund administrators
- Assist in the responses to Investor Due Diligence questionnaires in a timely manner
- Assist with KYC on limited partner transfers

Investments
- Perform thorough Due Diligence and AML checks on investment counterparties under supervision of the Compliance Manager
- Assist the Compliance Manager with the maintenance of the restricted list

Carry out Compliance induction and onboarding training and set up (discosures, user set up on ComplySci)

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