Compliance Officer

Recruiter
Cameron Kennedy
Location
London, UK
Salary
Competitive
Posted
22 Jul 2019
Closes
26 Jul 2019
Ref
1212090849
Sector
Legal
Contract Type
Permanent
Hours
Full Time
Compliance Officer

Central London

£60,000 - £80,000 + Bonus + Great Benefits

The Role:

A well respected, global Investment Management Firm are looking to recruit a Compliance Officer for their Central London team. You will be assisting with the firm's investment advisory compliance, advising the business in its growing illiquid alternatives investments platform, including private equity and private debt strategies

This is a fantastic opportunity for you to work in an international, dynamic and challenging environment with considerable learning potential.

Main Responsibilities:
  • Work closely with the global Legal & Compliance team to provide compliance support and guidance with respect to the alternatives pillar, and specifically to investment professionals within the illiquid alternatives teams.
  • Provide advice on a wide range of investment advisory and portfolio compliance related matters, with an emphasis in the illiquid alternatives space, including conflicts of interest, information barriers, valuation, independent credit assessments and trading related matters, such as fair allocations, co-investments and portfolio company related issues.
  • Draft, implement, and evaluate the adequacy and effectiveness of the firm's policies, procedures and internal controls.
  • Implement reviews and monitoring processes related to the trading activities of the illiquid investment teams.
  • Stay abreast of industry practices and regulatory topics within the illiquid alternatives space.
  • Be responsible for contributing to the development and delivery of regular and ad hoc compliance training on matters within the illiquid alternatives space.
  • Investigate compliance issues as needed and report findings back to management.
  • Perform general compliance and operational risk related functions as instructed.

Experience Required:
  • Experience within Asset/Investment Management
  • Some experience with private equity, private credit and/or other illiquid alternatives products and strategies is a plus.
  • Solid knowledge of applicable laws and regulations governing alternative products and vehicles, including funds and related portfolio investments.
  • Strong oral and written communication skills and fluent in English.
  • Willing to work in an environment where day-to-day interactions will be partially with team members and internal clients located in offices located in other countries
  • Proven ability to initiate and drive projects to completion and to handle senior management relations and internal stakeholders
  • Strong self-management skills and discipline - ability to take direction as well as take initiative and get things done under pressure and tight deadlines, while providing complete transparency to managers and other team members

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