Regulatory Compliance Specialist

4 weeks ago

London, Greater London, United Kingdom Black Swan Group Full time
Job Description

Regulatory Compliance Specialist – Alternative Investment Firm

Company Overview:

Black Swan Group is a prominent alternative investment firm dedicated to upholding the highest standards of regulatory compliance and ethical conduct. We are currently in search of a Regulatory Compliance Specialist to enhance our Compliance team and support the ongoing success and expansion of our operations.

Role Overview:

In the capacity of a Regulatory Compliance Specialist, you will be instrumental in fortifying and advancing the firm's compliance framework. Your responsibilities will encompass monitoring and ensuring compliance with relevant regulations, policies, and procedures. The ideal candidate will possess a solid understanding of financial regulations, the ability to dissect intricate compliance challenges, and the skill to communicate effectively with stakeholders across various levels.

Key Responsibilities:

· Regulatory adherence: Keep updated on pertinent financial regulations, including AIFMD and FCA guidelines.

· Conduct thematic reviews and testing

· Formulate and uphold compliance policies and procedures

· Manage regulatory filings

· Oversee compliance reviews for financial promotions and marketing

· Handle personal account dealings

· Engage in governance and ethics

· Deliver compliance training

· Facilitate client onboarding processes (AML and KYC)

· Participate in ad hoc project initiatives

Requirements:

· Bachelor's degree in Finance, Economics, Law, or a related discipline.

· Minimum of 2 years' experience in a generalist compliance role within an alternative investment setting.

· Comprehensive knowledge of UK financial regulations and industry best practices.

· Exceptional analytical and problem-solving abilities with meticulous attention to detail.

· Proficient in articulating complex compliance matters clearly and effectively to a diverse range of stakeholders.

If you possess the necessary skills and experience to thrive in this role and contribute to the firm's ongoing achievements, we encourage you to consider this opportunity.

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