Compliance Manager

  • Location

    West End, London

  • Sector:

    Operations & Middle Office

  • Job type:


  • Salary:

    £70000 - £75000 per annum

  • Contact:

    Scott Duerden

  • Contact email:


  • Job ref:


  • Published:

    10 months ago

International Real Estate Asset Management company, are looking to recruit a Compliance Manager to join their rapidly expanding London office/operations. In this position, you'll be responsible for providing ongoing support to the Head of Legal and Compliance and the Head of Risk, Europe with SMF16 and SMF17 responsibilities and other general compliance and financial crime duties. The role requires a self-starter who is able to manage operational, transactional and project compliance matters concurrently and manage legal and compliance spend and budgets. Someone who can add value and has the knowledge to enable them to be self-sufficient.

Main responsibilities of the Compliance Manager will include;

  • Managing SMCR for UK AIFM
  • Managing UK AIFM
    • FCA reporting and communication (GABRIEL and Connect),
    • FCA fees,
    • controlled function appointments, removals, etc,
    • AIFM board reporting including producing MLRO and annual compliance report and managing risk assessments (e.g. financial crime),
    • undertake annual reviews of compliance policies
    • managing regulatory references
  • Managing EU AML, ABC and Sanctions programme, including owning policies and procedures, undertaking due diligence and arrange delivery of training
  • Manage MiFID II policy suite for AIFM
  • Managing our compliance consultant Bovill, including budget
  • Managing conflicts process
  • Managing registers - G&H, conflicts, KYC etc
  • Managing annual declaration process
  • Managing Compliance monitoring plan
  • Run verification programme on fund launches
  • Manage fund marketing compliance process
  • Support on deal related compliance matters
  • Manage regulatory upstream risk - MLD5 etc
  • Manage delivery of compliance training
  • Maintain all compliance policies

To be considered for this position, ideal candidates must have the following experience and skills;

  • At least 5 years' work experience in a compliance function, funds management, asset management or other regulated firm
  • Experience of having worked in real estate and know AIFMD and ideally MiFID II
  • Practical experience of dealing with FSMA, Regulated Activities Order, AIFMD, EMIR, Bribery Act, Anti- Money Laundering, data protection issues is preferred but not essential
  • Able to multi-task, organised, efficient and effective
  • Strong communication skills in written and spoken English
  • Another European language an advantage
  • Experience of using the FCA Gabriel / Connect reporting systems
  • Familiarity and practical experience of dealing with legal documents is preferred

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