Job description: THE COMPANY:Our client is a specialist alternative asset manager, looking for a Compliance Manager to assist the COO in upholding the firm’s compliance monitoring program.Please note, this role requires 5 days in the office.THE RESPONSIBILITIES:
Oversee all aspects of regulatory compliance, ensuring the Company meets its obligations.
Manage the compliance manual, policies and monitoring programme, including annual NFA self-assessment.
Assess, monitor and manage regulatory risk and implement appropriate policies and procedures.
Ensure the ICARA and risk register are maintained and regularly reviewed.
Maintain MLRO reviews and financial crime oversight.
Qualify prospective investors as professional clients.
Review and approve marketing materials and other financial promotions.
Provide compliance advice to the business development function including jurisdictional marketing rules.
Prepare and submit non-financial regulatory filings.
Coordinate AML/KYC requests from counterparties and investment entities.
Ensure privacy and data protection rules are adhered to.
Monitor staff training against regulatory requirements.
Assist with legal matters, manage relationships with external counsel, and oversee legal budget and spend.
Assist in monitoring and managing legal risk, implementing controls and mitigation strategies.
Assist in establishing and maintaining an efficient UK company structure for regulated and non-regulated activities.
Assist in overseeing fund entity governance, liaising with the fund board and company secretary.
Ensure fund offering documents remain up-to-date and compliant.
Advise on legal aspects of investor communications.
Assist in drafting, reviewing, and negotiating legal documents (e.g., investment, counterparty, supplier agreements, and employment contracts).
Assist with oversight of the staff handbook and HR policies/procedures.
Assist in company secretary duties, including organizing board meetings and maintaining statutory records.
EXPERIENCE REQUIRED:
Experience with NFA/CFTC and FCA rules (familiarity with MIFIDPRU/IPRU-INV a plus). Managed futures/options experience preferred.
Awareness of onshore/offshore funds and associated regulatory considerations.
Experience in compliance or legal support within financial services.
Exposure to contract review and legal documentation.
Ability to manage policy updates, record-keeping, and governance tasks.
Strong liaison skills for internal/external stakeholder coordination
For further information please contact Spencer EvansAbout this roleLocation:LondonSpecialism:Salary:Up to £100/110,000 paType:Reference:19290
Expected salary:
Location: London
Job date: Sun, 13 Jul 2025 01:50:32 GMT
To help us track our recruitment effort, please indicate in your email/cover letter where (jobsnear.pro) you saw this job posting.Thanks&Good Luck