Our client is an independent, multi-boutique asset manager. They offer a range of strongly differentiated investment strategies, spanning public and private markets.
THE RESPONSIBILITIES:
**Will consider full time and part time (3 or 4 days a week)**
Maintain combined UK Compliance Manual as current
Administer ongoing Compliance Monitoring Program
Responsible for FCA filings (familiar with RegData, Connect etc)
Responsible for relationships with and use of third party compliance service providers
Familiar with AIFMD and MiFID
Oversight of EU marketing in consideration of reverse solicitation, NPPR and working with EU third party AIFM
Client on-boarding and maintenance (KYC, AML etc)
Oversight of third-party Distribution/Placement Agents
Oversight of promotion/marketing materials
Manage local jurisdiction registrations re pre-marketing/marketing
Private Equity investment due diligence
Contribute to due diligence on PE target investments (compliance and legal factors)
Ongoing monitoring and update of funded investments
For further information please contact Spencer Evans
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