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This successful Alternative Investment Manager is looking to hire a specialist Compliance Officer to join their firm on a part-time basis and bolster its compliance function across 2 FSA-regulated London-based entities.

Reporting into the Board of each entity, the successful candidate will have full oversight of compliance for two entities and hold the CF10 & 11 controlled functions.

Responsibilities include (but are not limited to):

Regulatory Compliance

• Ensure that the firm remains compliant with all applicable UK & US regulations and codes of conduct
• Keep senior management aware of their regulatory responsibilities, changes to rules and current practice
• Maintain and update the Code of Ethics, Compliance Manual and internal procedures as required
• Provide advice and guidance to the business on regulatory & legal issues
• Identify and develop robust risk controls
• Develop compliance training programmes and guides for staff
• Maintain all relevant compliance records (PA dealing, gifts, conflicts of interest, etc)
• Produce the annual compliance/MLRO report for the board and clients
• Attend to all regulatory filings
• Review all marketing literature, ensuring promotion to only suitable prospective/current investors

Compliance Monitoring

• Develop and update compliance monitoring programme taking into account of compliance risks
• Undertake compliance monitoring reviews in line with procedures and FSA regulations.
• Assist the external compliance consultant with their monitoring reviews

Qualifications & Experience

• Extensive experience gained in asset management compliance
• Current or recently registered with the FSA as CF10 & 11 (strongly preferred)
• Degree educated or equivalent

Skills

• Strong, effective communication skills (written and verbal)
• Ability to negotiate and influence people at all levels
• Self-starter and able to meet tight deadlines
• Good analytical, business and problem solving skills
• Ability to work as a team and maintain relationships internally and externally

It is expected that the successful candidate will be able to commit to 3 days / week, although you will need to be able to commit the hours needed to cope with any peaks in workload or advice needed from the business.

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