Compliance Executive

We are currently recruiting for a regulatory hosting platform who are looking for an experienced buy-side compliance generalist with strong financial promotions experience to join their team.

Responsibilities will include, but are not limited to:

• Reviewing financial promotions and providing feedback to clients
• Monitoring financial promotion emails and client portal as required
• Building a positive working relationship with our clients and attending meetings as required
• Providing training both internally and externally to clients as and when required
• Providing management information both internally and externally regarding volume of reviews
• Supporting the development of policies, processes, training and providing other relevant support that enhances our offering to our clients/prospects
• Monitoring regulatory changes and assisting with impact analysis of the same
• Undertaking other relevant, ad-hoc tasks within the remit of the role as and when required

Summary of Minimum Qualifications and Knowledge Requirements:

• Professionally educated preferably to degree standard or equivalent.
• 5+ years prior experience in generalist regulatory compliance roles within the wholesale sector (eg. hedge funds, private equity or buy-side real estate fund management, etc.), fluent in the Financial Promotions Regime and with a working knowledge of the compliance obligations from MiFID II, AIFMD and general UK regulatory compliance expectations
• Ability to deal with clients with confidence and gravitas
• Ability to work under pressure with great attention to detail, successfully managing priorities to meet tight deadlines
• Ability to work on own initiative in a fast-paced, small-team environment