Compliance Manager

As a Compliance Manager, you will play a key role in ensuring that the firm meets its regulatory obligations across multiple jurisdictions. Your responsibilities will include: - Coordinating with internal stakeholders to prepare and submit required regulatory filings and notifications on time. - Maintaining the Global Regulatory Licensing and Global Regulatory Reporting registers. - Supporting the periodic review and implementation of compliance policies, procedures, and WSPs. - Administering the firm's Conflicts of Interest processes and monitoring adherence to internal conduct rules. - Supporting the execution of AML/KYC controls and client due diligence checks. - Executing the periodic Compliance Monitoring and Testing program and assisting in ongoing surveillance of trading, communications, and conduct matters. - Coordinating the annual compliance training program and supporting ad-hoc compliance awareness initiatives. - Maintaining the Regulatory Change Management Register and supporting impact assessment and implementation of required changes. - Providing support for regulatory inspections, audits, and internal reviews. Qualifications required for this role include: - 3 to 5 years of demonstrable experience in Compliance and AML matters for a UK/US/European financial services regulated business, ideally within the asset management/private markets space. - Experience with client onboarding, AML/KYC checks, conflicts management, and reviewing marketing materials for institutional client base. - Professional qualifications in Compliance/AML are strongly desirable. - Exposure to UK/US/European and Asian markets with good familiarity to key tenets of their regulatory regimes. The company offers a competitive salary and benefits in line with market expectations and legal requirements, as well as a flexible/hybrid working environment. As a Compliance Manager, you will play a key role in ensuring that the firm meets its regulatory obligations across multiple jurisdictions. Your responsibilities will include: - Coordinating with internal stakeholders to prepare and submit required regulatory filings and notifications on time. - Maintaining the Global Regulatory Licensing and Global Regulatory Reporting registers. - Supporting the periodic review and implementation of compliance policies, procedures, and WSPs. - Administering the firm's Conflicts of Interest processes and monitoring adherence to internal conduct rules. - Supporting the execution of AML/KYC controls and client due diligence checks. - Executing the periodic Compliance Monitoring and Testing program and assisting in ongoing surveillance of trading, communications, and conduct matters. - Coordinating the annual compliance training program and supporting ad-hoc compliance awareness initiatives. - Maintaining the Regulatory Change Management Register and supporting impact assessment and implementation of required changes. - Providing support for regulatory inspections, audits, and internal reviews. Qualifications required for this role include: - 3 to 5 years of demonstrable experience in Compliance and AML matters for a UK/US/European financial services regulated business, ideally within the asset management/private markets space. - Experience with client onboarding, AML/KYC checks, conflicts management, and reviewing marketing materials for institutional client base. - Professional qualifications in Compliance/AML are strongly desirable. - Exposure to UK/US/European and Asian markets with good familiarity to key tenets of their regulatory regimes. The company offers a competitive salary and benefits in line with market expectations and legal requirements, as well as a flexible/hybrid working environment.