Compliance Manager

Description:

Coopman Search and Selection is partnering with a UK-headquartered Alternative Investment Manager to hire a Compliance Manager. This role is part of a small compliance team, reporting directly to the Head of Compliance, with significant opportunities for progression and increased responsibility.

Key Responsibilities:

• Execute Compliance Monitoring Programmes, including collecting documentation, performing tests, recommending system/control improvements, and preparing reports.

• Review and update Compliance Policies and Procedures.

• Assist in regulatory change implementation and conduct horizon scanning for regulatory updates.

• Prepare and conduct due diligence on third-party service providers, including onsite visits.

• Prepare regulatory filings and applications for FCA, US SEC, and other authorities.

• Produce compliance training materials and deliver training sessions.

• Review and approve financial promotions.

• Conduct thematic reviews, gap analyses, and respond to compliance queries.

Candidate Requirements:

• Strong knowledge of AIFMD, MiFID II, FCA Handbook; familiarity with UCITS/COLL is desirable.

• Knowledge of US Investment Company Act 1940 and SEC regulations for registered investment advisers is desirable.

• Proven experience in compliance monitoring, policy review, regulatory filings, and training.

• Understanding of best execution and post-trade surveillance monitoring; AIM market exposure desirable.

• Knowledge of ESG regulations (TCFD, SFDR, SDR, ESG Sourcebook) desirable.

• Demonstrable understanding of financial promotions rules.

Attributes:

• Strong analytical, organizational, and communication skills.

• Ability to provide compliance advice and respond effectively to queries.

• Adaptable and capable of working in a small, high-performing team environment.