Taking on a key leadership role with the firm, you will be responsible for:
* Providing broad compliance advisory support to the fund managers
* Maintaining and updating compliance manual and policies and procedures
* Managing the compliance program on a day-to-day basis, covering financial promotions, personal account dealing, updating compliance logs/registers and prepare/submit regulatory filings
* Proactively review upcoming regulatory changes and assess impact on the firm and its funds
* Day-to-day management of the firm’s compliance related technologies
* Managing service providers including outside legal counsel and compliance consultants
* Attend and prepare minutes for all compliance-related committees
* Providing ongoing compliance training to firm employees
Experience/Skills/Qualifications:
* Operated as a Head of Compliance (SM16) in a funds/alternative or private equity environment
* Thorough knowledge of the FCA’s regulatory rules as they pertain to asset managers
* Working knowledge of non-U.K. regulatory regimes US/EU etc (preferred)
* Strong relationship-building skills with the ability to engage proactively with fund managers and colleagues at all levels
* Attention to detail and strong analytical skills, capable of logical thinking, using initiative, and systematically resolving problems
* Proactive, self-supportive, and motivated in fostering a positive compliance culture
* Excellent report writing and presentation skills
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