Associate Director, Compliance- must have AIFM exposure

THE COMPANY:

Our client is a specialist alternative asset manager, looking for a Compliance Associate Director to join their expanding UK Compliance team.

THE RESPONSIBILITIES:

• Lead responses to day-to-day queries from the business, escalating internally as necessary.
• Partner with the Head of Compliance to implement new regulatory requirements.
• Monitor regulatory updates and assess potential impacts on the business.
• Own, review, and update the compliance & risk monitoring program to reflect key regulatory risks.
• Ensure timely completion and escalate breaches or risks as appropriate.
• Oversee monitoring through systems such as eFlow, STAR Compliance, and any other new GRC platforms (e.g., Best Execution, Market Abuse, Order Allocation). Ensure monitoring is evidenced and issues are followed up to resolution.
• Run Best Execution Committee, ensuring materials are prepared in advance
• Produce quality client/Board reports.
• Support the Head of Compliance in identifying new risks associated with business growth and acquisitions. Propose appropriate monitoring and reporting solutions.
• Represent Compliance at internal meetings or committees in the Head of Compliance’s absence, as agreed.
• Deputise for Head of Compliance at various Client Board Meetings when required
• Co-manage two staff members.
• Act as a trusted advisor to the business.
• Review, approve or decline PA Dealing, Gifts, and Entertainment requests in line with policy.
• Ensure policies and procedures are reviewed and updated at least annually.
• Complete regulatory reporting via FCA Connect and RegData.
• Ensure financial promotions are compliant with FCA and MiFID II requirements.
• Assist with KYC/AML checks on new investments.
• Conduct sanction checks using LexisNexis.
• Work with HR to ensure pre-employment screening is completed.
• Deliver Compliance induction training as part of the new joiner programme.

EXPERIENCE REQUIRED:

• AIFMD experience within an asset management context.
• 6–7 years of compliance experience, with significant exposure to alternative investments.
• Knowledge of UCITS rules and MiFID is essential.
• Knowledge of private asset/property funds is desirable.
• Understanding of ESG compliance frameworks such as SFDR (EU) and SDR (UK).
• Experience producing Consumer Duty Board reports and managing Product Governance reviews.
• Knowledge of other EU regulatory regimes is desirable as we expand.

For further information please contact Spencer Evans