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Compliance Manager/Director

Fram Search
Posted 2 days ago, valid for 4 days
Location

London, Greater London EC1R 0WX

Salary

£45,000 - £54,000 per annum

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Contract type

Part Time

In order to submit this application, a Reed account will be created for you. As such, in addition to applying for this job, you will be signed up to all Reed’s services as part of the process. By submitting this application, you agree to Reed’s Terms and Conditions and acknowledge that your personal data will be transferred to Reed and processed by them in accordance with their Privacy Policy.

Sonic Summary

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  • A boutique investment firm in Central London is looking for a part-time regulatory advisor to support trading and investment activities across various asset classes.
  • The role involves providing legal and compliance guidance, coordinating with external lawyers, and assisting in transaction execution.
  • Candidates should have asset management experience and a proactive approach to monitoring regulatory developments and conducting compliance audits.
  • The position requires regular engagement with internal teams and external parties to ensure adherence to FCA regulations and other applicable laws.
  • The desired experience level is not specified, but the role is aimed at experienced compliance professionals, with a salary mentioned as part-time compensation.
  • Hybrid working
  • 2-3 per week
  • Asset management experience desired
A boutique investment firm based in Central London is seeking a part-time regulatory advisor to support their trading and investment activities across various asset classes. The role involves providing legal and compliance guidance, coordinating with external lawyers, and assisting in transaction execution. You will work closely with the investment team on negotiated deals and ensure all legal documents, including NDAs and contracts, are reviewed and managed efficiently. In this role, the appointee will also be responsible for advising on compliance matters across the firm, covering regulatory reporting, AML/KYC requirements, and relevant laws for engaging investors. Additionally, you will assist the finance team with regulatory aspects of investor reports and fund notices. This position requires a proactive approach to monitoring regulatory developments, updating compliance policies, and conducting compliance audits. Regular engagement with internal teams and external parties such as auditors and regulatory bodies is key to ensuring the firm's ongoing adherence to FCA regulations and other applicable laws. We are keen to receive applications from experienced compliance professionals with asset management experience.

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In order to submit this application, a Reed account will be created for you. As such, in addition to applying for this job, you will be signed up to all Reed’s services as part of the process. By submitting this application, you agree to Reed’s Terms and Conditions and acknowledge that your personal data will be transferred to Reed and processed by them in accordance with their Privacy Policy.