Regulatory Affairs Senior Associate

5 days ago

London, Greater London, United Kingdom Coopman Search and Selection | B Corp™ Full time

**About the Role**

We are seeking a highly skilled and experienced Regulatory Affairs Senior Associate to join our team at Coopman Search and Selection | B Corp™. As a Senior Compliance Analyst, you will play a critical role in ensuring our firm's compliance with regulatory requirements and maintaining a strong compliance culture.

Key Responsibilities:

  • Assist the firm in meeting FCA and SEC regulatory compliance requirements
  • Prepare the firm for quarterly FCA compliance reviews and annual SEC reviews
  • Review Compliance Manual and develop and maintain the firm's Compliance Policies & Procedures
  • Test the compliance monitoring programme
  • Conduct telephone monitoring, email surveillance, and expert network call chaperoning
  • Assist with the preparation of SEC filings for submission (ADV Pt 1 & 2, Form PF, 13H/F/G, CFTC, Form D)
  • Manage the wall crossing and market sounding processes as well as shareholder disclosure requests
  • Review Marketing presentations
  • Assist the firm to compile compliance-related responses for DDQs/Operational Due Diligences
  • Oversee the firm's record keeping (Conflicts of Interest, OBIs, gifts & entertainment, breaches, training)

Requirements:

  • 1-3 years compliance experience within equity asset management environment
  • Exposure to regulatory markets, such as the US, Cayman, and Ireland

About Us:

As a Certified B Corporation™, we take a different approach to how we do business. As a recognised Great Place to Work™, we ensure our workplace is one that fosters professional growth and collaboration.

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