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Compliance Manager
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Compliance Manager
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Compliance Manager
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Coopman Search and Selection City of London, Greater London, United KingdomCoopman Search and Selection are delighted to partner with a leading alternative asset manager who specialise across the fixed income spectrum. This firm is currently going through a period of exciting growth which has seen them double their AUM in past 18 months. As the Complian ...
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Compliance Manager
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Compliance Manager - City of London, Greater London, United Kingdom - Kin Group
2 weeks ago
Description
Company Information:
Kin provides a broad range of services focused on Venture Capital, including custody, fund administration, fund management and company secretarial.
Having grown significantly over the last few years, Kin seek to be the service provider of choice for alternative asset managers.
We are responsible for looking after nearly 10,000 investors, ranging from small private investors, to global multinationals and the UK Government.
Our goal is to help asset managers better service these investors.Job Description:
This role sits within the Kin Group Compliance team, supporting both the standard internal compliance requirements of an authorised firm, and external compliance requirements related to investors, clients and appointed representatives.
Working with and supporting the Chief Compliance Officer and Senior Compliance Manager, the role holder will help ensure the firm and its appointed representatives have appropriate systems and controls to maintain robust and pragmatic compliance with FCA rules and guidance.
The Compliance manager will be expected to bring a good base-level of regulatory compliance as well as strong professional competence to a role they wish to develop in.
A solid understanding of the UK's regulatory framework and in particular the investment space will be required; experience of the venture capital sector would be useful.
This knowledge will likely come from work experience in the sector either in compliance or other associated roles and potentially from formal industry qualifications.
As part of the wider Compliance Team, they will assist with risk and compliance oversight internally as well as contributing to the governance framework for appointed representatives and other client firms.
They will be able to take ownership of distinct areas of compliance focus, whether project-based or enduring workstream-based, with more responsibility and autonomy as their professional knowledge increases.
They will be able to work well in a team and under direction as well as being self-motivated and able to work on their initiative in an entrepreneurial environment.
This role offers a hybrid working pattern and excellent benefits, including the potential to grow and develop with the business.
Line Manager:
Chief Compliance Officer__________________________________________________________________________________Main Duties and ResponsibilitiesOverview: The Compliance Team work together across all aspects of Compliance, with individual workflow apportionment remaining flexible to suit the needs of the Firm and Compliance priorities.
This provides a varied work pattern, great breadth of coverage, ability to work closely with senior members of the business and a large opportunity for professional development.
Below are listed areas of coverage the role holder can expect involvement in.Compliance Oversight· Oversight of Firmwide governance structures, including SMCR framework· Monitoring and improvement of all compliance-related systems and controls· Organisation, development and delivery of compliance training· Anti-Money Laundering oversight· Management and development of the internal compliance monitoring program· Financial promotion review and approval· Regulatory filings as required· Maintaining compliance systems and related data· Complaints handling· Regulatory change monitoring, assessment and implementation· Product development and governance· Risk Management· Custody (client money and client assets) oversightAppointed Representatives· Ensuring the compliance monitoring of appointed representatives is up to date· Onboarding of appointed representatives and approved persons· Management of compliance attestation program· Regulatory filings as requiredOther Expectations· Cultivate and maintain a strong compliance culture within the firm· Embrace change and continuously improve the work we do and the way we do it· Work closely with and support your colleagues to collectively achieve success· Motivate yourself and those around youSkills and Qualifications · Undergraduate degree preferable but not essential· Relevant compliance qualifications preferred but not essential (Level 3/4 CISI or equivalent)· Good general knowledge of UK investment products, preferably venture capital (specifically AIFMD and MiFID regulations)· Strong working knowledge and proficiency in Microsoft Excel and Word· Excellent verbal and written communication skills in English· Ability to work independently and in a team· Demonstrable initiativeSalary: competitive
