Regulatory Compliance Manager
Regulatory Compliance Manager - Real Assets Investment Manager
London - Hybrid (Office 1 - 2 days a week)
Up to GBP85,000 a year PLUS bonus and benefits
A specialist real assets investment manager focused on secure income strategies. They invest in UK and European assets with predictable secure long term cash flows. They provide market leading and innovative real asset solutions across a range of investments such as commercial ground rents, renewable infrastructure, social infrastructure and secured lending, combining operational real estate expertise and fixed income skills.
Seeking to appoint a Compliance Manager to support this growing business. The role offers an exciting opportunity to contribute to the growing operations and processes of the business and to play an influential role in the firm's efficiency and operational effectiveness.
The role will encompass the following critical key aspects: -
Reporting to CFO (who will retain the CO/MLOR roles in the medium term)
Primary contact for FCA Compliance matters as the dedicated compliance resource in the business.
Maintenance of the regulatory policy suite and the Compliance Manual.
Overall responsibility for FCA reporting (with support within finance for regular financial submissions)
Regulatory compliance support within Alpha; coordinating and developing the compliance monitoring calendar and internal deliverables across the regulated businesses; close liaison with TIME Investments (our "Mifid" wealth management business in terms of group reporting and ACD overlays).
Coordination of DD/KYC to institutional investors and advisors - coordinating input from the various internal divisions for completion.
Support for new and existing funds in terms of regulatory compliance with coordination with third party administrators within the relevant governance framework. Including regular investor DD where Alpha are providing transfer agency.
Although role is primarily focused on FCA environment and governance, would be seen as a general support for other regulatory compliance as this need arises.
Consideration/coordination of the outsourced monitoring and other regulatory advisors
Project managing regulatory change/updates.
Support for other key regulatory changes - ESG support to CIO/Head of sustainability
Potential CO role/support for Tempo Structured Products as it seeks independent authorisation. Skills, experience, and qualifications will include:
Relevant regulatory compliance experience ideally with investment funds management arena.
Ability to read legal form documentation and to highlight compliance matters
Good communicator and highly articulate (written and verbal), with high quality report writing skills and ability to influence across teams.
High degree of personal drive and motivation to succeed
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