Job Title: Compliance Manager
Salary: 50-100k depending on experience
Location: London
Job Type: Hybrid, 3 days in office
About the Company
Our client is a leading global investment management firm specializing in real assets and real estate. With a robust portfolio of investments across diverse markets, the firm is committed to maintaining the highest standards of compliance, governance, and risk management.
Role Overview
The Compliance Manager will play a key role in ensuring the company’s adherence to all relevant regulatory requirements, with a particular focus on Anti-Money Laundering (AML), Know Your Customer (KYC), and risk assessments. The ideal candidate will have a proven track record in compliance, with experience gained within a law firm and a real assets-focused investment management company.
Key Responsibilities
* AML Compliance:
* Develop, implement, and manage the firm’s AML policies and procedures to ensure compliance with applicable laws and regulations.
* Conduct ongoing monitoring and analysis of transactions to detect potential money laundering activities.
* Provide training to staff on AML compliance and ensure awareness across the organization.
* KYC and Client Onboarding:
* Oversee the client onboarding process, ensuring robust KYC procedures are in place to verify the identity and risk profile of clients.
* Conduct enhanced due diligence (EDD) for high-risk clients and escalate concerns as necessary.
* Regularly update and review KYC documentation to ensure compliance with evolving regulatory standards.
* Risk Assessments and Monitoring:
* Perform comprehensive risk assessments of the firm’s compliance frameworks, identifying and mitigating potential risks.
* Maintain an ongoing risk monitoring program, ensuring appropriate controls are in place for managing compliance risks.
* Collaborate with internal stakeholders to address identified compliance risks and implement corrective measures.
* Regulatory Reporting and Liaison:
* Prepare and submit reports to regulatory authorities as required.
* Serve as the primary point of contact for regulatory bodies and manage external audits related to compliance.
* Policy Development and Updates:
* Develop and maintain compliance policies and procedures, ensuring they align with industry best practices and regulatory changes.
* Regularly review and update internal compliance manuals and guidelines.
* Stakeholder Collaboration:
* Advise senior management on compliance-related matters and provide strategic input on regulatory developments.
* Work closely with cross-functional teams, including Legal, Risk, and Operations, to maintain a cohesive compliance culture.
Key Requirements
* Experience:
* Minimum of 2 years of experience in compliance, with a focus on AML, KYC, and risk management.
* Proven experience in a compliance role
* Experience in real estate / real assets
* Education & Certification:
* Bachelor’s degree in Law, Finance, Business, or a related field is preferred but no a must
* Relevant professional certifications (e.g., ICA, ACAMS, or equivalent) are highly desirable.
* Technical Knowledge:
* In-depth understanding of AML and KYC regulations, particularly as they apply to the real assets and real estate sectors.
* Familiarity with global regulatory frameworks and their implications for investment management firms.
* Skills:
* Strong analytical skills with the ability to assess and mitigate risks effectively.
* Excellent communication and interpersonal skills for stakeholder engagement and training delivery.
* High attention to detail and the ability to manage multiple priorities in a fast-paced environment.
What We Offer
* Competitive salary and benefits package.
* Opportunity to work with a leading global investment management firm.
* A dynamic and collaborative work environment that values professional growth and development.
* Training towards relevant compliance certifications
* A friendly compliance culture
Next Steps
* Apply to the role with your up-to-date CV or email me at w.proudfoot@x4-technology.com
* If successful: Interviews will be taking place between Monday-Wednesday (20-22nd Jan)