My client is a specialist real assets alternative asset manager

Reporting to the Head of Compliance, the successful candidate will lead all key day-to-day compliance regulatory functions across a UK FCA-regulated entity and co-manage two staff members

The role includes providing timely and concise regulatory advice catering to the needs of the business, ensuring completion of the compliance monitoring program, signing off financial promotions, responding to investor queries, delivering training, and approving employee requests where appropriate

Building strong relationships with key stakeholders is essential. The goal of the Compliance Team is to be proactive, forward-facing, and evidence-based

Key Responsibilities/ Accountabilities

Compliance Advisory

• Lead responses to day-to-day queries from the business, escalating internally as necessary
• Partner with the Head of Compliance to implement new regulatory requirements
• Monitor regulatory updates and assess potential impacts on the business

Compliance Monitoring Plan

• Own, review, and update the compliance & risk monitoring program to reflect key regulatory risks
• Ensure timely completion and escalate breaches or risks as appropriate
• Oversee monitoring through systems such as eFlow, STAR Compliance, and any other new GRC platforms (e.g., Best Execution, Market Abuse, Order Allocation). Ensure monitoring is evidenced and issues are followed up to resolution
• Run Best Execution Committee, ensuring materials are prepared in advance
• Produce quality client/Board reports

Projects

• Support the Head of Compliance in identifying new risks associated with business growth and acquisitions. Propose appropriate monitoring and reporting solutions

Supporting the Head of Compliance

• Represent Compliance at internal meetings or committees in the Head of Compliance’s absence, as agreed
• Deputise for Head of Compliance at various Client Board Meetings when required
• Co-manage two staff members
• Act as a trusted advisor to the business

Central Compliance

• Review, approve or decline PA Dealing, Gifts, and Entertainment requests in line with policy
• Ensure policies and procedures are reviewed and updated at least annually
• Complete regulatory reporting via FCA Connect and RegData
• Ensure financial promotions are compliant with FCA and MiFID II requirements

AML Responsibilities

• Assist with KYC/AML checks on new investments
• Conduct sanction checks using LexisNexis

Skills & Experience

• Essential: AIFMD experience within an asset management context
• 6–7 years of compliance experience, with significant exposure to alternative investments
• Knowledge of UCITS rules and MiFID is essential