As a member of the Legal & Compliance team, the UK Compliance Officer will work to support the continued evolution of the Firms compliance program, including related procedures, systems, monitoring/testing and regulatory filings.

Client Details

A global alternative investment firm with approximately £30 billion in assets, focused on asset-based investments.

Description

• Participate in projects to expand, improve, and refine the global compliance program, with particular focus on UK regulations.
• Conduct monitoring and testing of the firm's businesses in the UK, provide recommendations to remediate any identified issues and coordinate with colleagues to drive the closure of said issues.
• Perform electronic communication surveillance and follow-up with relevant stakeholders to address issues.
• Assist with the Firm's global privacy efforts, including those related to GDPR.
• Have day-to-day ownership of compliance with SMCR.
• Serve as a compliance resource for the firms employees based in the UK, as well as Ireland and other European offices.
• Support the CCO with the compliance training program in the UK, creating awareness of firm policies and procedures as well as FCA rules.
• Coordinate the development, review and administration of policies and procedures specific to the UK based businesses, as well as other European offices.

Profile

A successful Compliance Officer should have:

• Experience in wealth management, banking, private equity, hedge funds and/or other related asset management business(es).
• Strong 'generalist' Compliance experience within a buy-side firm would be advantageous.
• Familiarity with GDPR and wider UK statutory risk principles.

Job Offer

• Equivalent salary between £90,000 and £110,000, dependent on the level of experience.
• Benefits package to be confirmed.