Compliance Officer (SMF16/17)

London, United Kingdom
18 May 2022
17 Jun 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Our client is a growing Alternative Asset Manager looking to hire a Compliance Officer (SMF16/17), based in their London office.

The job holder will be the sole compliance officer for the UK entity and would be responsible for:
  • Acting as the Compliance Officer/MLRO for the UK firm (SMF16/17)
  • Monitoring and advising on regulatory changes that may impact the firm
  • Review and implement the compliance monitoring programme, conducting reviews in accordance to the annual programme
  • Draft, review and implement compliance policies
  • Horizon scanning / research upcoming regulatory initiatives which may impact the firm
  • Review and approve fund documentation for submission to the FCA;
  • Liaise with the FCA Fund Supervisions team in relation to queries on fund applications & ad-hoc requests for information.

About the Candidate:
  • 4+ years' experience with an alternative investment manager or MIFID investment firm,
  • Strong understanding of regulatory rules and guidance in UK
  • Strong organisational, analytical and methodical skills,
  • Resourceful and capable of working autonomously,
  • Confident in their decision making,
  • Excellent problem-solving ability,
  • Excellent team player,
  • Resilient and enthusiastic.

The budget is up to £75,000-90,000 basic salary plus yearly bonus

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