Compliance Lead
London, GB
What it's about
In your role you will be responsible for working closely with Partners Group's Head of Compliance UK in ensuring that Partners Group's two FCA-licensed firms comply with their legal and regulatory obligations under the UK financial services regime. You will work as part of a team of two responsible for the UK and as part of a global team. The UK compliance function is responsible for all aspects of regulatory compliance on behalf of an alternative investment fund manager ("AIFM") and a MiFID investment firm. Your main responsibility will be for the MiFID investment firm. This is a broad role in which you are expected to take ownership for your work. It consists of a mixture between providing regulatory advice, performing hands-on compliance tasks, dealing with policy matters and working on new regulatory implementation projects. Partners Group is a growing, dynamic fund management group, which translates into a challenging working environment with numerous opportunities to expand your domestic and international regulatory knowledge and experience.
Responsibilities
- Lead and support the design, implementation, and ongoing enhancement of the compliance framework for the London office.
- Act as a subject matter expert on MiFID entity and provide support for an AIFM entity, including interpretation of requirements and practical application to business processes.
- Lead on Client Money and Assets (CASS) processes.
- Identifying, understanding and interpreting UK financial services legislation and regulation (with a particular focus on public markets regulatory topics).
- Provide day-to-day compliance advice to business teams on regulatory matters affecting investment, distribution activities and financial promotions.
- Advise stakeholders on regulatory change and help coordinate implementation of new or amended regulatory requirements.
- Draft management information reports and assisting with the firms' corporate governance – e.g. advising boards of directors.
- Provide guidance on public markets investment activities, including best execution, allocation and market abuse monitoring
- Support regulatory reporting, filings, and interactions with relevant regulators and external stakeholders where required.
- Oversee compliance monitoring reviews and thematic assessments, ensuring issues are identified, escalated and remediated appropriately.
- Support the development, maintenance, and periodic review of compliance policies, procedures, and controls.
- Lead on compliance risk assessments and contribute to the annual compliance risk assessment.
- Provide guidance and training to employees on compliance policies, regulatory obligations, and conduct expectations.
- Maintain appropriate records and documentation to evidence compliance oversight and decision-making.
- Support investigations, breaches, incidents, and control issues, including root cause analysis and remediation tracking.
- Strong experience (min 10 years) in a compliance role within asset management, private markets, investment management, or a similar regulated financial services environment.
- Demonstrable expertise in MiFID and AIFMD, including their impact on investment firms, marketing, distribution, governance, and investor protection requirements.
- Experience in collaterised loan obligation products is an advantage.
- Demonstrable expertise in MiFID and AIFMD, including their impact on investment firms, marketing, distribution, governance, and investor protection requirements.
- Familiarity with compliance monitoring, regulatory change management and incident escalation processes.
- Understanding of governance, conflicts of interest, personal account dealing, market abuse and insider information controls.
- Ability to interpret regulation and translate technical requirements into clear, actionable guidance for business teams.
- Team player and collaborative approach with other business teams is a must.
- Self-motivated, proactive, intellectually curious individual with strong desire to learn and succeed.
- A small amount of travel may be necessary but is not a core part of the role.
Partners Group is a global financial institution that retains the culture, pace, and agility of a start-up. As a growing firm, we are committed to attracting, developing, and retaining the very best talent by offering a workplace where results are truly recognized and rewarded.
We offer a fantastic opportunity for you to grow and develop your career:
- Professional, international working environment
- Challenging, rewarding career within a growing company
- Collaborative atmosphere, with on-the-job training and mentorship opportunities
- Competitive compensation package, including contract completion bonus
www.partnersgroup.com
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