Compliance Officer for Global Investment Management
3 weeks ago
Maldon Partners seek a skilled Senior Compliance Officer (VP) for a 15-month maternity cover position at a leading Global Alternative Investment Manager in London.
The firm has a significant presence, managing c$50bn across four main business areas: Private Equity, Real Estate, Absolute Return Hedge Funds, and Credit Management.
This opportunity is ideal for an experienced compliance professional who is immediately available or has a short notice period (maximum 1 month) and has expertise in the Alternatives Space.
Hybrid working is available (4 days in the office).
The Role:
The successful candidate will work closely with the Chief Compliance Officer to develop and implement compliance frameworks for all lines of business.
Responsibilities will include:
- Ensuring timely submission of regulatory reports through UK RegData and SEC FINRA Gateway.
- Maintaining and updating Compliance Manuals.
- Performing tasks required by, and periodically updating, the Compliance Monitoring Programs.
- Assisting with the maintenance of personal dealing policies and procedures and online certifications system.
- Leading the submission of SM&CR applications and annual Fitness and Propriety refresher.
- Carrying out AML due diligence.
- Assisting with counterparty KYC requests.
- Assisting in deal-related regulatory filings.
- Reviewing promotional materials to ensure they are fair, clear, and not misleading.
- Assisting with the preparation of Board packs.
- Carrying out regulatory horizon scanning.
- Assisting with The Task Force on Climate-related Financial Disclosures (TCFD) reporting.
Requirements:
- A minimum of 7 years of Generalist Compliance experience, preferably gained within an Alternative Asset Management or other Buy-Side Firm.
- Knowledge of credit Management (CLOs) and Private Equity is beneficial.
- Excellent knowledge of FCA rules and regulations.
- Ability to make commercial decisions and work autonomously.
The Senior Compliance Officer (15-month maternity cover role) has a base salary of c£90,000 - £110,000 or Equivalent Day Rate, depending on experience, with hybrid working available.
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