Compliance Manager – Asset Management

1 month ago

London UK, UK, United Kingdom Martis Search Full time

The Role


Compliance Manager – Asset Management & Hedge Fund Compliance Consultancy (Must have solid Asset Management & Hedge Fund Compliance experience)


Martis Search are representing an established, boutique London based Compliance Consultancy company that specialises in Compliance & Legal Consultancy services, specifically for the Hedge Fund, Asset Management and Private Equity industries.


This is an excellent “Compliance Manager” role for someone who is looking for something different in their Compliance career.


The role reports into their Managing Director who atm is also acting as the business’s " Compliance Manager". Our client needs someone who can manage and in time take the full Compliance function away from them, so that they can concentrate of business development and winning new clients.


Our client provides Compliance & Legal Consultancy Services for an array of different, mainly London based Hedge Funds (predominately), but also Asset Managers and Private Equity companies, from small start-up funds, right to larger global co’s with large assets-under-management ($).


The Compliance tasks that they perform for them dependent upon the size of the fund, the life-cycle of the fund i.e. some might be early stage start-up’s with no Compliance departments etc, some might be more established Funds with large $ AUM’s, but need Compliance Advisory for their processes, or ongoing Regulatory Reporting requirements.


You will be trained “on-the-job” by the MD and other senior Consultants and likely manage a small team of junior Compliance Analysts. The teams will need your guidance and for the first 6-months you will be learning and doing the job, with the view as to once you fully understand the intricacies of the Compliance work, to then manage the workloads, manage the teams’ output, but also be the main-point-of-contact and “Relationship Manager” to their clients; owning the client relationships without the MD.


The client points-of-contacts range from CEO’s, CCO’s, COO’s. Some of the co’s consultants are ex-COO’s and COO’s, so there is plenty of experience around to help you.


You will work onsite in their clients offices and also allowed to "work-from-home". Some clients have different needs and expect you to be at their offices “more-often-than-not” and others are more relaxed. The MD states that you should realistically be doing 3-5 client meeting a week.


Having the energy to meet senior Hedge Fund/ Asset Management clients face-to-face is a must, as well as having to deal a broad variety of Compliance tasks across lots of different Investment strategies and asset-class types i.e Global Credit, Fixed Income, Equity Long/ Short, Private Equity etc.


Our client needs either a “senior Compliance Manager”, or "Head of Compliance" level experience either gained from a Hedge Fund, Asset Manager, or Private Equity house. Or from a “Buyside” Compliance Consultancy.


Our client will also look at an ex-Hedge Fund, Asset Management COO, someone who still have deep Compliance and Regulatory knowledge and who wants to try Compliance as a career and try working in Consultancy.


The works-loads are high, clients are ultra demanding, so you have to deliver quality work day-in, day-out, week-in, week out etc. Their client relationships are long-term and project lengths can range for 2-months, to long-terms projects that can last for months/ ongoing projects.

You will be expected to have in-depth Hedge Fund/ Asset Management

“Generalist Compliance” knowledge:


The company offer a hybrid mix of “working-from-home” and also in-the-office, so you get the best of both worlds. In addition, you will need to be confident and articulate, plus have the energy to both regularly visit and work onsite at their clients’ offices in Mayfair and in The City of London.


Each client will be demanding, so you need to be able to pick up complex Compliance processes quickly, hit deadlines and provide a high quality of work and service, that the client gives repeat business.


This is such an amazing opportunity to learn so much about Compliance within these sectors. Due to the size of the company, the exposure and learning curve is steep, but rewarding.

Strong understanding of different Compliance Regulations such as:


  • FCA handbook – you must have a strong understanding and interpretation of and understand where to navigate through it.
  • SMCR.
  • AIFMD.
  • MiFID2.
  • PRA/ PRU.


The role involves a broad range “Generalist Compliance” duties such writing of Compliance policies and procedures, Transaction Monitoring programs, client’s Marketing Materials, websites, Mis-selling, PA Dealing, Gifts etc – so not day is the same.


**Please note our client will not sponsor, and we ask all applicants to have full UK Right to Work and no time limited visas – Youth Mobility, Tier 4, Spouse Visas (all that are soon to expire and require company sponsorship to work in the UK).


We ask all applicants to respect this requirement given our client’s request and inability to sponsor.**


Salary


£80 k pa - £125 k pa dependent upon experience, plus Equity in the business, bonus and healthcare etc.

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