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.
Rate:
£110,000/year
Location:
London
IR35 Status:
Not specified
Remote Status:
Not specified
Industry:
Legal & Compliance
Seniority Level:
Mid-Level