£85,000 basic salary + package (pro-rata)
3 months ago
MERJE are currently representing an Alternative Investment firm in their search for a part-time Compliance Officer. The company currently manages circa £3.5bn of assets and their strategy is predominantly fund of funds, and utilises external managers, covering private equity, absolute return, public equity, real estate and credit.
- Leading and executing all aspects of the firm’s compliance policy and process requirements relating to regulatory compliance
- Maintaining the Compliance Manual and related policies and procedures
- Keeping abreast of regulatory developments impacting the firm and raising awareness among the Board of Directors and members of staff
- Managing external compliance consultants
- Implementing the firm’s periodic compliance monitoring programme, and oversight or completion of any necessary remedial action
- Organising and delivering staff compliance training
- Maintaining compliance registers (PAD, Conflicts, Gifts and Entertainment, Breaches)
- Responsibility for regulatory aspects of investor on boarding (AML/CDD checks and client categorisation)
- Review and sign-off of all periodic investor newsletters, presentations to meet the firm’s financial promotions obligations.
- Producing Compliance reporting for Board meetings
- Minimum 5 years’ generalist Compliance experience within the Asset Management or Alternative space
- Strong technical knowledge of relevant UK and EU regulation and practical experience of its application
- Collaborative, and also able to produce results with minimal supervision
- Excellent communication and presentation skills
- Proactive and pragmatic, ability to investigate issues and problem solve
- Strong analytical skills
- Educated to degree level
- Strong stakeholder management skills
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities in the future.