Compliance Manager

Compliance Manager

London

Specialist Alternative Asset Manager

I am working with a Specialist Alternative Asset Manger on the look out to bring in a Compliance Manager. This will be a broad, hands-on role reporting directly into the Head of Compliance, with real responsibility to support the UK regulated business across a range of compliance matters.

Your responsibilities will include:

• Owning the Compliance Monitoring Plan


• Advising the Investment and Distribution Teams


• Working on Financial Promotions


• Overseeing best execution and product governance


• Reporting any issues into senior management and board

Key requirements:

• 5+ years Compliance experience


• Financial Services compliance experience, specifically within Investment Manager or Asset Manager


• Alternatives or private markets experience would be a plus


• Generalist compliance professional with experience in compliance monitoring, financial promotions and best execution


• A doer who isn't afraid of rolling up their sleeves