Job Description
Coopman Search and Selection are currently partnered with a private funds advisory business who are HQ'd in the UK but have a global presence. The role will report in directly into the COO.
In this role you will be responsible for the running of the compliance programme whilst holding the SMF16/17 functions for the business. The role will see you cover multiple jurisdictions and will allow you to be a key decision maker in the enhancing & development of the firms compliance infrastructure.
Key Responsibilities:
* Hold the SMF16 and SMF 17 functions in the UK.
* Lead interface with all global regulators (UK, USA, EU, and Hong Kong).
* Ensure firm adherence to regulatory standards in each target jurisdiction (especially the UK, USA, EU, UAE, Japan, Korea, and Hong Kong)
* Responsibility for routine compliance activities including vetting, PA trading monitoring & reporting, staff training & on-boarding new staff
* Review of client marketing materials.
* Responsible for compliance reporting in each jurisdiction (SYSC, MLRO Reports, MiFID II, Compliance Manual, etc.)
* Develop the firm’s compliance infrastructure (manuals, systems, procedures etc.)
* Research new/upcoming compliance legislations & advise the business on any changes.
Experience Required:
* 8+ years experience within private funds, asset management or investment banking
* Strong regulatory knowledge relating to FCA, SEC, BaFin & SFC
* Previous SMF16 & SMF17 experience is desirable although not essential
* Excellent verbal, interpersonal, and written communication skills are essential
* High level of attention to detail