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Job Location | London |
Education | Not Mentioned |
Salary | Competitive salary |
Industry | Not Mentioned |
Functional Area | Not Mentioned |
Job Type | Permanent , full-time |
Key ResponsibilitiesAssist with compliance and compliance projectsReviewing and updating the Firm’s compliance policies and proceduresKeep the business appraised of regulatory developments and requirements and maintain a culture of complianceProvide compliance advisory services to the business, as required;Submission of FCA applications/reportsUpdate PRIIPS KIDs Review AIFMD investor disclosuresReview the quarterly risk management reports for each funScope and prepare the annual Compliance Monitoring Plan and Operational Risk Monitoring PlanAssist with annual review of Risk Assessments at fund and asset level, in line with the Operational Risk Monitoring PlanAssist the business units on the annual review of their Risk MatricesIdentify control gaps and opportunities for improvementLiaising with external compliance consultants, legal counsel, the fund Company SecretariesAttending regulatory conferences to ensure continuing professional development, and share knowledge gainedEnsuring that client assets are held in accordance with the relevant CASS requirements;Supporting the MLRO in activities relating to anti-money laundering;Assisting investment teams to carry out anti-bribery and counterparty due diligence checks on new counterparties and new asset entities;Reviewing service providers AML framework to ensure it is compliant;Maintaining permanent insider listsManagement of the Firm’s Restricted ListReviewing marketing materials to ensure they comply with the relevant regulatory rulesMaintain the personal accounts dealing/Gifts & Entertainment /Business Interests/ Government Contact register/ external appointmentsExperienceCandidates must have demonstrable private markets/renewables investment management compliance experience , and be able to work collaboratively at all times