Compliance Lead

Role Overview

• Lead and support the design, implementation, and ongoing enhancement of the compliance framework for the London office.
• Act as a subject matter expert on MiFID entity and provide support for an AIFM entity, including interpretation of requirements and practical application to business processes.
• Lead on Client Money and Assets (CASS) processes.
• Identifying, understanding and interpreting UK financial services legislation and regulation (with a particular focus on public markets regulatory topics).
• Provide day-to-day compliance advice to business teams on regulatory matters affecting investment, distribution activities and financial promotions.
• Advise stakeholders on regulatory change and help coordinate implementation of new or amended regulatory requirements.
• Draft management information reports and assisting with the firms' corporate governance – e.g. advising boards of directors.
• Provide guidance on public markets investment activities, including best execution, allocation and market abuse monitoring.
• Support regulatory reporting, filings, and interactions with relevant regulators and external stakeholders where required.
• Oversee compliance monitoring reviews and thematic assessments, ensuring issues are identified, escalated and remediated appropriately.
• Support the development, maintenance, and periodic review of compliance policies, procedures, and controls.
• Lead on compliance risk assessments and contribute to the annual compliance risk assessment.
• Provide guidance and training to employees on compliance policies, regulatory obligations, and conduct expectations.
• Maintain appropriate records and documentation to evidence compliance oversight and decision-making.
• Support investigations, breaches, incidents, and control issues, including root cause analysis and remediation tracking.

Requirements

• Strong experience (min 10 years) in a compliance role within asset management, private markets, investment management, or a similar regulated financial services environment.
• Demonstrable expertise in MiFID and AIFMD, including their impact on investment firms, marketing, distribution, governance, and investor protection requirements.
• Experience in collaterised loan obligation products is an advantage.
• Familiarity with compliance monitoring, regulatory change management and incident escalation processes.
• Understanding of governance, conflicts of interest, personal account dealing, market abuse and insider information controls.
• Ability to interpret regulation and translate technical requirements into clear, actionable guidance for business teams.
• Team player and collaborative approach with other business teams is a must.
• Self-motivated, proactive, intellectually curious individual with strong desire to learn and succeed.

Benefits

• Professional, international working environment
• Challenging, rewarding career within a growing company
• Collaborative atmosphere, with on-the-job training and mentorship opportunities
• Competitive compensation package, including contract completion bonus