Compliance Manager - Private Markets

Coopman Search and Selection are delighted to partner with a UK HQ''d Alternative Investment Manager who are looking to hire a Compliance Manager to be part of their small compliance team. The role will report direct into the Head of Compliance and offers plenty of scope for progression and taking on more responsibility.

Read on to find out what you will need to succeed in this position, including skills, qualifications, and experience.Key Responsibilities:Predominantly responsible for completing the Compliance Monitoring Programmes which includes collating information and documentation, conducting the tests, suggesting recommendations or enhancements to systems and controls and preparing the requisite reports;Review of Compliance Policies and Procedures;Assistance in implementing regulatory change and conduct regulatory change horizon scanning;Preparing questionnaires for and conducting third party service provider due diligence including assisting with onsite visits;Preparing regulatory filings and applications e.g. FCA, US SEC and other authorities;Produce training slides and conduct compliance training;Review and approve financial promotions;Conduct thematic reviews and gap analyses; andProvide compliance advice and respond to queries.Experience Required:Strong Knowledge and understanding of AIFMD, MiFID II and the FCA Handbook but also UCITS/COLL is desirableKnowledge of US Investment Company Act 1940 and SEC regulation for registered investment advisers – experience working at SEC registered investment advisers is desirable;Strong experience conducting tests and making recommendations through compliance monitoring programmes;Knowledge and experience of best execution and post-trade surveillance monitoring (AIM Market exposure desirable);Strong experience in reviewing Compliance Policies and Procedures;Knowledge and understanding of ESG regulation including TCFD, SFDR, SDR and the ESG Sourcebook is desirable;Demonstrable knowledge and understanding of the financial promotions rules;For a confidential discussion or for further information, please get in touch with chris.wood@coopman.ukAs a Certified B Corporation™, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value and incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work™, we ensure our workplace is one that fosters professional growth and collaboration. ..... full job details .....