Senior Compliance Officer 12-15m FTC
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- England,London
- full-time
- Competitive salary
Job Description:
Maldon Partners are recruiting a Senior Compliance Officer (VP) on a 12-15 Month Maternity cover basis for a Global Alternative Investment Manager based in Mayfair.
The firm has c$50bn AUM across four main business areas: Private Equity, Real Estate, Absolute Return Hedge Funds and Credit Management and is in super growth mode looking to double their AUM in the coming years.
This is a great opportunity for an experienced compliance professional who is immediately available or on a very short notice period (maximum 1month), who also has experience in the alternatives, private equity or Real Estate space.
Hybrid working is on offer (4 days in the office)
The Role:
The role holder will be responsible for working directly with the Chief Compliance Officer to administer all aspects of the compliance frameworks for all lines of business.
Responsibilities will include but not be limited to:
*Ensuring that the business submits on a timely basis all required regulatory reports through UK RegData and SEC FINRA Gateway..
*Maintaining and updating Compliance Manuals.
*Performing the tasks required by, and periodically updating as necessary, the Compliance Monitoring Programs.
*Assisting with the maintenance of the Firm’s personal dealing policies and procedures and online certifications system.
*Leading the submission of SM&CR applications and annual Fitness and Propriety refresher.
*Carrying out AML due diligence
*Assist with counterparty KYC requests.
*Assist in deal related regulatory filings.
*Reviewing all promotional materials proposed to be utilized before they are utilized to determine if they can be approved by the CCO as being are fair, clear and not misleading.
*Assist with the preparation of Board packs.
*Carry out regulatory horizon scanning.
*Assist with The Task Force on Climate-related Financial Disclosures (“TCFD”) reporting.
Experienced Required:
*A minimum of 7years Generalist Compliance experience gained within a buy-side firm (Alternative AM, PE or Real Estate)
*knowledge of credit Management (CLO’s) (Beneficial)
*knowledge of Private Equity (Beneficial)
*Excellent knowledge of FCA rules and regulations
*Ability to be pragmatic and make commercial decisions
*Proven ability to work with autonomy and make decisions
Salary:
The Senior Compliance officer (12-15 Months Mat cover role) has a base salary of c£90,000 - £110,000 or Day Rate equivalent
*Please note that only candidates who meet the above requirements will be contacted
The firm has c$50bn AUM across four main business areas: Private Equity, Real Estate, Absolute Return Hedge Funds and Credit Management and is in super growth mode looking to double their AUM in the coming years.
This is a great opportunity for an experienced compliance professional who is immediately available or on a very short notice period (maximum 1month), who also has experience in the alternatives, private equity or Real Estate space.
Hybrid working is on offer (4 days in the office)
The Role:
The role holder will be responsible for working directly with the Chief Compliance Officer to administer all aspects of the compliance frameworks for all lines of business.
Responsibilities will include but not be limited to:
*Ensuring that the business submits on a timely basis all required regulatory reports through UK RegData and SEC FINRA Gateway..
*Maintaining and updating Compliance Manuals.
*Performing the tasks required by, and periodically updating as necessary, the Compliance Monitoring Programs.
*Assisting with the maintenance of the Firm’s personal dealing policies and procedures and online certifications system.
*Leading the submission of SM&CR applications and annual Fitness and Propriety refresher.
*Carrying out AML due diligence
*Assist with counterparty KYC requests.
*Assist in deal related regulatory filings.
*Reviewing all promotional materials proposed to be utilized before they are utilized to determine if they can be approved by the CCO as being are fair, clear and not misleading.
*Assist with the preparation of Board packs.
*Carry out regulatory horizon scanning.
*Assist with The Task Force on Climate-related Financial Disclosures (“TCFD”) reporting.
Experienced Required:
*A minimum of 7years Generalist Compliance experience gained within a buy-side firm (Alternative AM, PE or Real Estate)
*knowledge of credit Management (CLO’s) (Beneficial)
*knowledge of Private Equity (Beneficial)
*Excellent knowledge of FCA rules and regulations
*Ability to be pragmatic and make commercial decisions
*Proven ability to work with autonomy and make decisions
Salary:
The Senior Compliance officer (12-15 Months Mat cover role) has a base salary of c£90,000 - £110,000 or Day Rate equivalent
*Please note that only candidates who meet the above requirements will be contacted
Job number 1673251
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Company Details:
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