Job Title: COMPLIANCE MANAGER -ASSET MANAGEMENT/PRIVATE EQUITY


Reference:AJB JB AM 184


Date: 14 Feb, 2020

Location: City of London


Assignment Profile:

Our city based international client is seeking an experienced Compliance Manager to work with a variety of clients including Asset Managers, Private Equity and Venture Capital firms You will be providing in-house as well as regulatory advice to many clients, working with a highly regarded and well known Industry Director. You will be expected to work on your own account reverting to the director when necessary. Responsibilities - Answering compliance queries and providing robust written and/or verbal answers - Leading on FCA Authorisations - Providing written compliance advice to clients - Acting as a compliance business partner to the AIFM team - Compliance advice on new fund launches - Compliance advice on new ARs - Advising on the production of internal “know-how” to assist the wider team - Researching new regulations and advising the clients on their impact - Policy writing - Provision of training

Candidate Profile:

- Demonstrable ability to analyse and interpret complex regulations and provide detailed compliance advice - gained within a regulatory consultancy or in-house compliance advisory role - 3+ years’ experience within a regulatory consultancy where they have provided compliance advice to clients or 6+ years within an in-house compliance advisory function - an excellent knowledge of the following core regulations including: o the Senior Manager’s regime o the Approved Person regime (which is still applicable to the ARs) o the Alternative Investment Fund Managers Directive (risk management experience would be beneficial not required) o MIFID (aspects relating to illiquid portfolios i.e. excluding transaction reporting, MiFIR, etc) - a working knowledge of: o investment fund structures (unauthorised) o a variety of financial services business models across several asset classes o the delegated/host AIFM model o the Principal / AR model - the willingness and enthusiasm to master additional regulatory areas over time Working knowledge of other applicable regulations would also be beneficial e.g. GDPR, PRIIP Regulation, Market Abuse Regulation, Money Laundering Regulations. Necessary business skills experience We would expect the individual to be able to: - have a client facing attitude - be able to convey complicated matters in a simple way to clients - excellent written and verbal communication skills - excellent stakeholder management skills

Consultant: Jonathan Banjo


Consultant Email: jbanjo@ajbexecutivesearch.co.uk


Salary:Circa £70-90,000 Plus Benefits & Bonus


If you feel you are a suitable candidate for this position please contact Jonathan Banjo

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