A niche Investment Management business, specialising in Real Estate, is looking to recruit their first sole compliance officer to join their London office. The role will hold SMF 16 & 17 after allowing a period of time for the successful individual to bed into the firm.
- The provision of support and advice to the business and to compliance colleagues on all regulatory matters. Incorporate regulatory or corporate changes into guidance for the business unit and supporting the enforcement of all applicable regulatory policies applicable to the business unit.
- Design monitoring and oversight programmes and to carry out the compliance monitoring program to establish ongoing compliance with internal and regulatory requirements.
- Providing advice and direction to all departments on compliance with the Firm’s compliance policies and procedures.
- Conduct due diligence of clients, counterparties and potential joint venture partners for purposes of general know-your-client, anti-money-laundering and anti-corruption requirements.
- Reviewing marketing materials and other related materials.
- Liaison with global entities and external agencies as deemed necessary.
- Provide support to the local European offices, as and when required.
- Minimum 5 years Compliance experience working within a similar Investment Management house, ideally with experience of a real estate alternatives business area.
- Strong AIFMD knowledge.
- Strong academic background, degree educated, minimum 2.1 or equivalent.
- Excellent verbal & written communication skills, comfortable working with all seniority levels of staff throughout the business, developing relationships across departments.
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