Compliance Officer - CF10 & 11 - Alternative Investments

Location
City of London
Salary
£130K-£160K + Bonus & Benefits
Posted
24 Sep 2019
Closes
24 Oct 2019
Ref
C217
Contract Type
Permanent
Hours
Full Time
Travel
None

A niche Alternative Investment Management firm is looking for a Compliance Officer to join their business, managing one direct report, a broad and varied role that will appeal to a dynamic, ambitious candidate either looking to make the step up to CF10 & 11 or has previously held that level of role for a few years. Successful candidates must also be comfortable working within a small office environment with a hands-on approach to working. Candidates must have a stable career background/CV.

Main Responsibilities:

  • Advise the business and management team on a daily basis.
  • Responsible for UK & overseas, including the US, compliance programmes, working with external support as and when required.
  • Review & continually develop the compliance framework.
  • Manage regulatory filings including, but not limited to, FCA Gabriel, Form ADV etc.
  • Advise the business on all regulatory developments that may affect the business and run regulatory implementation projects as and when required.
  • Attend and present at board meetings on a regular basis.

Job Requirements:

  • At least 7 years Compliance experience working within an Alternatives Investment Management business.
  • Experience of US regulations would be preferable.
  • Dynamic individual with strong interpersonal skills to work with a range of personalities across the business.
  • Good communicator, comfortable dealing with all levels of staff.
  • Excellent oral and written communication skills

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