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Compliance Generalist - Alternatives. 1 year FTC

Full Time
Greater London
06-11-2023 05:24 PM


This firm is  one of Europe’s leading investment platforms.  

It is looking for a candidate with generalist experience to join on a 12-month contract, who is able to assist with both advising the business on regulatory requirements as well as developing and supporting the team’s Compliance Framework and Compliance Monitoring Programme, including regulatory reporting.

In this role you will be assisting with continuing to implement and maintain a robust compliance framework. Staying abreast with UK regulatory and compliance developments.


Key responsibilities


  • Assisting on adhoc compliance advisory requests


  • Reviews of existing policies and procedures testing appropriateness within Compliance Framework


  • Overseeing Compliance Monitoring Programme, including working with external compliance consultants


  • Key contact for external compliance consultants


  • Management of two junior compliance staff 


  • Assist with implementation of new regulations and management of projects


  • Assist with preparation of management information and materials for various committees and board meetings • Management of regulatory filings Key requirements


  • 8-10 years’ compliance experience with an alternative investment manager or MIFID investment firm


  • Has FCA experience (including MiFID II, SM&CR, SYSC, COBS, MAR, IFPR)


  • Has ability to understand and interpret regulatory rules and guidance


  • Has strong organisational, analytical and methodical skills


  • Is resourceful and capable of working autonomously


  • Has excellent problem-solving ability


  • Is an excellent team player


  • Is resilient and enthusiastic


  • Has good project management skills