Compliance Manager - Private Markets

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Coopman Search and Selection are delighted to partner with a UK HQ'd Alternative Investment Manager who are looking to hire a Compliance Manager to be part of their small compliance team. The role will report direct into the Head of Compliance and offers plenty of scope for progression & taking on more responsibility. Key Responsibilities:<ul><li>Predominantly responsible for completing the Compliance Monitoring Programmes which includes collating information and documentation, conducting the tests, suggesting recommendations or enhancements to systems and controls and preparing the requisite reports;</li><li>Review of Compliance Policies and Procedures;</li><li>Assistance in implementing regulatory change and conduct regulatory change horizon scanning;</li><li>Preparing questionnaires for and conducting third party service provider due diligence including assisting with onsite visits;</li><li>Preparing regulatory filings and applications e.g. FCA, US SEC and other authorities;</li><li>Produce training slides and conduct compliance training;</li><li>Review and approve financial promotions;</li><li>Conduct thematic reviews and gap analyses; and</li><li>Provide compliance advice and respond to queries.</li></ul> Experience Required:<ul><li>Strong Knowledge and understanding of AIFMD, MiFID II and the FCA Handbook but also UCITS/COLL is desirable</li><li>Knowledge of US Investment Company Act 1940 and SEC regulation for registered investment advisers – experience working at SEC registered investment advisers is desirable;</li><li>Strong experience conducting tests and making recommendations through compliance monitoring programmes;</li><li>Knowledge and experience of best execution and post-trade surveillance monitoring (AIM Market exposure desirable);</li><li>Strong experience in reviewing Compliance Policies and Procedures;</li><li>Knowledge and understanding of ESG regulation including TCFD, SFDR, SDR and the ESG Sourcebook is desirable;</li><li>Demonstrable knowledge and understanding of the financial promotions rules;</li></ul> For a confidential discussion or for further information, please get in touch with chris.wood@coopman.uk As a Certified B Corporation™, we take a different approach to how we do business. Recognised on an international scale as a company that operates for good, we value & incorporate the interests of all of our stakeholders to grow in the most sustainable manner. As a recognised Great Place to Work™, we ensure our workplace is one that fosters professional growth and collaboration.

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