Maldon Partners are recruiting a Senior Compliance Officer on a 15 Month Maternity cover basis for a Global Alternative Investment Manager based in London.
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 an excellent 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 Space (CLO's, Private Equity or Real Estate)
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 5years Generalist Compliance experience.
* Some knowledge of Alternative Investments (CLO’s, Private Equity or Real Estate)
* Previous experience with an Institutional client base
* Excellent knowledge of FCA rules and regulations
* Ability to work with autonomy and make decisions
Salary:
The Senior Compliance officer (15 Months Mat cover role) has a FTC salary of c£100k-£110k p/a or a day rate of c£500-£600p/d depending on experience.
*Please note that only candidates who meet the above requirements will be contacted